Sr Analyst, AML Assurance & Compliance

Are you a team player? Are you curious to learn? Are you interested in working on meaningful projects? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you.

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader in the markets we serve, supporting more than 22,000 financial advisors, 1,100 institution-based investment programs, and 500 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. 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 practice. And they have the freedom to manage their client relationships because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Job Overview:

The Sr AML Assurance Analyst, Compliance completes sampling testing for coverage areas to ensure compliance with regulations, procedures, and controls, provides training to less experienced staff and assists management with tasks as needed.

Responsibilities:

• Conduct control testing for key controls of the AML program, including controls completed by the AML Compliance department and oversight controls of activities conducted outside of the department, such as New Accounts and Cash Management.

• Performs testing for more complex processes and aids in developing testing plans.

• Assists management in the training of and guiding more junior team members.

What are we looking for?

We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a demanding environment, are client-focused, team-oriented and can execute in a way that encourages creativity and continuous improvement.

Requirements:

• 3+ years of experience in financial crime and AML, such as conducting suspicious activity alert reviews for money laundering or fraud, customer screening reviews, or testing controls related to money laundering or fraud.

Core Competencies:

• Knowledge of the brokerage and advisor industry.

• Knowledge of AML laws, regulations, and industry best practices including, but not limited to, the Bank Secrecy Act (BSA), USA PATRIOT Act, Financial Action Task Force (FATF) recommendations, and Office of Foreign Assets (OFAC) Regulations.

• High level of analytical and problem-solving skills, desire to learn quickly, be flexible, and think strategically with attention to detail and accuracy.

• Excellent written and oral communication skills with the ability to present information in differing degrees of detail and form depending on the audience.

• Skill set specific to financial crimes risks not only to identify but also to provide appropriate risk mitigation solutions.

• Ability to provide mentorship and guidance to more junior team members.

Preferences:

• Certified Anti-Money Laundering Specialist (CAMs) Certification

• FINRA License Series 7 or 24

• Bachelor's degree

#LI-PA 

Pay Range:

$71,700.00 - $119,500.00

Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!

Why LPL?

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

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Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

Information on Interviews:

LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.