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Senior Compliance Supervisor – Onboarding & OBA
Job in
Fort Mill, York County, South Carolina, 29715, USA
Listed on 2026-07-31
Listing for:
LPL Financial LLC
Full Time
position Listed on 2026-07-31
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
LPL Financial LLC is seeking an onboarding supervision professional to conduct due diligence on prospective advisors, review Outside Business Activities and Private Securities Transactions, and ensure regulatory compliance across onboarding processes. The role partners with internal teams and external Prudential partners to support onboarding and supervision efforts.
The ideal candidate has 3+ years in financial services compliance, strong regulatory knowledge, and licensing (FINRA Series 7/24
#J-18808-LjbffrPosition Requirements
10+ Years
work experience
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