The Senior Compliance Analyst will provide supervision and oversight for the ERISA Retirement Plan space within Product and Platform Compliance. Responsibilities include the supervision of various retirement focused programs at the plan and individual levels, approval of advisors into the various re...
The Senior Compliance Analyst will provide supervision and oversight for the ERISA Retirement Plan space within Product and Platform Compliance. Responsibilities include the supervision of various retirement focused programs at the plan and individual levels, approval of advisors into the various re...
Analyst is a key member of the Compliance Testing Team and is responsible for assessing compliance risk and evaluating the design and/or operating effectiveness of the firm's compliance control framework. The Role is responsible for leading execution of compliance testing engagements and supporting ...
Analyst is a key member of the Compliance Testing Team and is responsible for assessing compliance risk and evaluating the design and/or operating effectiveness of the firm’s compliance control framework. The Role is responsible for leading execution of compliance testing engagements and supporting ...
LPL's Compliance organization is currently looking for an Analyst within the Product & Platform Strategic Projects Team. If you are an individual who has a drive to deliver exceptional results, be part of a highly motivated team and are passionate about the work you do, this may be the right rol...
The Electronic Communications Compliance (eComm) team within the Risk and Compliance organization is seeking temporary support to ensure our technology complies with all regulatory guidelines related to CARS (Capture, Archive, Retrieve, and Supervise). In this role, you will collaborate with key sta...
We are currently looking for a highly motivated Compliance professional for an Analyst role supporting our newest Broker-Dealer/Investment Advisory firm, LPL Enterprise. The LPL Compliance team provides compliance support to LPL holistically to identify and address matters impacting the activities o...
The Electronic Communications Compliance (eComm) team within the Risk and Compliance organization is seeking support to help ensure the technology being used is in compliance with all regulatory guidelines related to CARS (Capture, Archive, Retrieve, and Supervise). Partnering with key stakeholders ...
Assists the Compliance Department in reviewing marketing materials to ensure compliance with federal consumer financial protection laws. Reviews print, radio, video and social media marketing materials to ensure compliance with Mortgage Acts and Practices, unfair discrimination and deceptive, abusiv...
Theater Operations Analysts based out of Kuwait, to support Product Manager Aerostats headquartered at Aberdeen Proving Ground, Maryland. ...
Do you have a passion for M&A and consulting with the desire to be a trusted partner for business owners? Are you interested in working with advisors to deliver M&A-driven growth or lead the sale of their most significant asset, their business? Are you a team player and curious to learn? Do ...
Being effective as a compliance officer often involves helping management find new and creative ways to be profitable while maintaining compliance standards that protect the Firm. Compliance Coverage Officers (COs). As part of this responsibility, COs generally are responsible for the oversight of r...
Financial Analyst, Technology Finance. Act as a strategic business partner – create accurate of financial landscape they’re currently in – a lot of these turn into high level presentations to SVP partners. Financial modeling to help support forecasting – this partnership is mostly internal on corpor...
Title : Auditor/ Internal Compliance and Quality Assurance Audit Manager. This role is responsible for developing and maintaining a strong Internal Compliance program ensuring compliance to applicable regulations. Manage audit planning, scheduling, and execute internal and external audits for South ...
Analyst (TPPM Specialist), Strategic Sourcing & Procurement - Third-Party Performance Management (TPPM) supports our team of Third-Party Risk Management (TPRM) Risk Assessors throughout the Third-Party Risk & Due Diligence process as well as assists Vendor Owners and Business Owners with int...
Liaison between the business partners and the IT group to support ServiceNow and provide analysis for systems implementation, upgrade, and enhancement projects. Evaluate business processes to identify and report on opportunities for improvement. Conduct, manage, and facilitate system and data analys...
The Manager in Ecomm Compliance leads a team responsible for the oversight and performance of second line controls designed to ensure the technology we use for electronic communications is in compliance with all regulatory guidelines and that all related controls are adequate and accurately performe...
The Project Manager will also work with PAI customers to ensure they are satisfied with PAI’s efforts in compliance, and undertake joint assessments / initiatives for improving compliance, and supporting efforts to keep data integrity. The Project Manager is responsible for tracking DSCSA compliance...
LPL Financial (Nasdaq: LPLA) is one of the fastest-growing Fortune 500 financial services firms, and the industry-leader in the markets we serve. Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? A...
System Business Analyst located in Fort Mill, SC reporting to the Technology Operation Planning & Support (TOPS) team. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect prac...
Experience with data manipulation and database management a plus. Data pipeline update, maintenance, and integrity confirmation in support of an evolving global. Survey, summarize, and/or catalogue sources of data in support of. Reventus (principally in London, but also including a senior analyst in...
We are currently looking for a highly motivated Compliance professional for the AVP, Compliance Officer role supporting our newest Broker-Dealer/Investment Advisory firm, LPL Enterprise. This role will work with the Chief Compliance Officer to assure the firm establishes and maintains a robust compl...
Business Analyst with a background in Accounting and Financial Reporting. Individuals performing this function must be able to quickly grasp business concepts and, through interviewing, facilitating discussions, and research, identify high-level business requirements into detailed functional specifi...
Job Description Master Data and Process Steward + Procurement Analyst Summer Intern 2022 - 22000017 **Description**. Master Data and Process Steward + Procurement Analyst Summer Intern 2022**. Data mine current 3D Systems master data repositories for gaps. Coordinate and organize master data associa...
Sr Business Analyst in P&C insurance. Assists in planning and designing business processes; assists in formulating recommendations to improve and support business activities. Assists in analyzing and documenting client's business requirements and processes; communicates these requirements to technic...