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LPL Financial-San Diego, CA
This position is responsible for the review, research and clearance of various corporate and registered representatives' advertising pieces. The advertising and sales literature pieces will be reviewed for compliance with Industry Regulations as well as LPL policy and procedures. This position is also responsible for helping with other projects as assigned. - BA/BS degree, 3+ years brokerage or brokerage related experience. - Series 7 and Series 24 licenses are required. - Compliance experience is considered a plus. - Must be a strong team player that thrives in a deadline-oriented environm...
Compliance Analyst Jobs in San Diego, California Jobs
Asset Marketing Systems | San Diego, CA, 92131 | >3
Headquartered in San Diego, California, Madison Avenue Securities is a full service, fully independent Broker/Dealer and Investment Advisory firm servicing financial advisors and their clients with branches from coast to coast. The company was founded in 2005 by financial marketing giant, Asset Marketing Systems Insurance Services, LLC. The AMS team wanted to give their thousands-strong producer base the opportunity to bundle business services as registered representatives and insurance agents through one comprehensive platform. With unique marketing programs and customized sales training d...
LPL Financial | San Diego, CA, 92108, USA | >2
Compliance Analyst, Supervision Req #: 2651017-6711 Location: US-CA-San Diego Apply for this job: To apply for this job: * Applyonline More information about this job: Responsibilities: LPL Financial has a full-time opportunity for a Compliance Analyst, Supervision in the San Diego Compliance department. This position will be responsible for assisting the firm with regard to regulatory and compliance matters. Responsibilities: * Supervising Branch Office Managers and keeping up to date with Company and industry regulations regarding financial institution activities. * Work will involve all ...
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