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LPL Financial
- San Diego, CA / Charlotte, NC / Fort Mill, SC
An Analyst o n the Marketing Regulatory Review Service Team will provide superior customer service to a large base of financial advisors and their staff, financial institutions, and home office employees as the first line of contact for various Advertising Compliance related issues while acting as a resource, lead, and mentor to the service team by assisting with questions, handling escalated item
Posted 5 days ago
LPL Financial
- Fort Mill, SC / San Diego, CA
The Senior Analyst, Compliance Risk Assessment & Testing, is responsible for contributing to the Firm's risk mitigation efforts by identifying, assessing, and appropriately documenting operational and regulatory risks that are a result of failed internal processes, systems or controls. The Senior Analyst is a member of a team of subject matter experts on risk identification, assessment, and testin
Posted 20 days 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 1 month ago
LPL Financial
- Charlotte, NC / Fort Mill, SC
We are currently looking to hire a Senior Compliance Analyst within the Surveillance Department, which is a part of LPL's Governance, Risk & Compliance (GRC) organization. The Senior Compliance Analyst, Surveillance will be responsible for the monitoring and oversight of financial advisor sales activities and related supervision of those activities. Essential Functions Reviewing exception reports
Posted 3 months ago
Logistics done differently. Transport Topics ranked XPO Logistics #1 out of the top 50 logistics companies in North America, and Forbes named us one of America's best employers. Do you want to take your career to the next level with a growing global company that rewards hardworking and dedicated employees? As the Internal Auditor, you will perform internal audits and special projects by providing
Posted 4 months ago
Vice President, Compliance (1133832) Position Purpose Ensure regulatory compliance with state and other government agencies related to the health insurance industry, Centene Corporation, and its business subsidiaries. Ensure business unit and Centene Corporate are in compliance with state and federal program regulations, insurance regulations, regulatory requirements for business entities and stat
Posted 2 months ago
About the Company Examination Management Services, Inc. (EMSI) provides leading edge medical information, risk management and investigation services to the insurance, legal, clinical and business communities. We empower customers with accurate, comprehensive information to make informed, reliable business decisions. We work collaboratively with our clients to develop strategies that increase profi
Posted 19 months ago
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