SVP, Compliance Monitoring, Testing & Risk Assessment

LPL Financial

Fort Mill, SC

The SVP, Compliance Monitoring, Testing, & Risk Assessment is a critical member of the Compliance leadership team and is responsible for overseeing the Firm’s Surveillance and Branch Inspections programs, Compliance testing program, and Compliance Risk Assessment program. The right candidate for this role will be a critical and creative thinker, with a deep understanding of the wealth management... More Detail

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