About this role
Where Ambition Meets Innovation. Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to.... Category: Compliance and Risk
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Sr. Supervisory Principal @ LPL Financial
Fort Mill, South Carolina, United States of AmericaOnsiteFull-timePosted 20 days ago
Opens on the employer's site
Skills
securities transaction reviewfinra regulationssales practice complianceaccount documentation reviewfinancial product knowledgesupervisory oversightregulatory decision makingmutual funds knowledgeannuities knowledgegeneral securities knowledgestructured products knowledgecompliance systems developmentclient relationship managementstakeholder managementattention to detail
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