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LPL Financial-San Diego, CA, 92108, USA
Compliance Analyst, Surveillance Req #: 1111085-6616 Location: US-CA-San Diego Apply for this job: To apply for this job: * Applyonline More information about this job: Responsibilities: This position will be responsible for assisting the firm with regard to regulatory and compliance matters. Responsibilities include: * Supervising Branch Office Managers and keeping up to date with Company and industry regulations regarding financial institution activities. * Performing daily and periodic supervision of trading activity and other activities of OSJ's * Researching and responding to regulator...
Compliance Analyst Jobs in San Diego, California Jobs
LPL Financial | San Diego, CA, 92108, USA | >3
Assistant Compliance Analyst Req #: 2656001-6644 Location: US-CA-San Diego Apply for this job: To apply for this job: * Applyonline More information about this job: Responsibilities: The ACA is responsible for the administrative tasks and maintenance and updates on several data bases and support on various projects for the Regulatory Affairs Group. The position reports to the VP of Regulatory Affairs, and the specific responsibilities include: * Setting up meetings and conference calls. * Maintaining Schedules and reminders for standing committee meetings. * Taking minutes in various standi...
LPL Financial | San Diego, CA, 92108, USA | >2
Compliance Analyst, Supervision Req #: 2651013-6632 Location: US-CA-San Diego Apply for this job: To apply for this job: * Applyonline More information about this job: Responsibilities: LPL Financial Services has a full-time opportunity for a Compliance Analyst, Supervision. This position is responsible for the compliance review and approval of Representatives wishing to join LPL Financial. This position works closely with many departments throughout the on boarding process; Recruiting, Branch Development, Transitions and Registration. Evaluation of the candidate's personal profile, CRD & U...
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