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Principal Financial Group
- Waltham, MA / Charlotte, NC / Philadelphia, PA / 11 more...
As a Sr. Relationship Director, you will have the opportunity to maintain and enhance relationships with our largest Retirement Plan Sponsors ($550M+ in assets). In this position you will be a strategic partner to the client, utilize product and investment expertise to resolve complex problems and service issues while driving innovative products and services to achieve positive plan sponsor and pa
Posted Today
LPL Financial
- Charlotte, NC / Fort Mill, SC
Senior Analyst, ERISA and Retirement Compliance The Senior Analyst will oversight the Retirement Plan space within Advisory Compliance. This position will also serve as a resource to the Analyst on the team. The Senior Analyst position is solely responsible for the oversight of the IPA Program, PAA Program, RPCP program approvals, RPCP Oversight QC, audit functions of the Retirement Partner Oversi
Posted 1 day ago
LPL Financial
- San Diego, CA / Charlotte, NC / Fort Mill, SC
We are looking to hire a Senior Analyst within the Marketing Regulatory Review Department, which is a part of LPL's Compliance, Legal, & Risk organization. The Senior Analyst, Marketing Regulatory Review will review and approve marketing materials and other public communications from Financial Advisors and home office employees. Essential Functions In consultative manner, analyze marketing materia
Posted 3 days ago
LPL Financial
- Charlotte, NC / Fort Mill, SC / Cleveland, OH
The Market Surveillance Group is principally responsible for conducting reviews aimed at detecting, preventing and investigating abusive, manipulative and illegal trading. The Senior Analyst will conduct Market Surveillance reviews and investigations into subject matters to include low priced and unlisted security trades and deposits, market manipulation related trading activity and Firm concentra
Posted 19 days ago
Delegate and schedule work for other internal auditors Set priorities for the department in conjunction with the CFO and COO Conduct internal audits of accounting procedures at multiple hotel sites Summarize and communicate to management the results of audit findings along with recommendations of improvement Follow up on audit findings and implementation of recommendations to hotel team members In
Posted 1 month ago
LPL Financial
- Charlotte, NC / Fort Mill, SC
Analyst, ERISA and Retirement Compliance The Compliance Analyst will oversee the Retirement Plan space within Advisory Compliance. The Analyst position is solely responsible for the oversight of the IPA Program, PAA Program, RPCP program approvals, RPCP Oversight QC, audit functions of the Retirement Partner Oversight Program, regulatory exams and follow up for IPA/RPCP on the annual questionnaire
Posted 1 month ago
Description The Compliance Analyst II is responsible for assisting with the SOC, PCI, HIPAA and other regulatory audits to include but not limited to the creation of audit plans, auditing security controls, policies and procedures and analysis of data in order to ensure regulatory compliance. Job Duties • Organizes compliance program by creating reports and metrics from Data Loss Prevention
Posted 2 months ago
LPL Financial
- Charlotte, NC / Fort Mill, SC
We are currently looking to hire an Internal Auditor, within the Internal Audit department, which is a part of LPL's Internal Audit organization. This person will be responsible for executing finance and operations related internal audits, control testing, process reviews and various ad hoc projects as assigned. Including but not limited to the following Test controls and prepare audit work papers
Posted 2 months ago
LPL Financial
- Charlotte, NC / Fort Mill, SC
We are currently looking to hire an Senior Analyst within the Surveillance & Investigations Department, which is a part of LPL's Compliance, Legal & Risk (CLR) organization. Our Analyst will be responsible for monitoring and oversight of financial advisor sales activities and the related supervision of those activities. Essential Functions Reviewing exception reports to detect and address potentia
Posted 26 days ago
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