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LPL Financial-San Diego, CA, 92108, USA
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...
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 | >2
For the 10th year in a row, LPL Financial Services (LPL) has been named Americas number one independent brokerage firm*. Formed in 1989 through the merger of two small but successful brokerage firms, Linsco and Private Ledger, our firm continues to be an industry leader. Both a pioneer and innovator in the financial services arena, LPL manages over $95 billion in assets through its nationwide network of financial advisors. With dual headquarters in Boston and San Diego, we support over 6,500 financial advisors in more than 4,000 branch offices. The focus of our firm has always been on our a...
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