What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial.
Job Overview:
The AML Compliance Senior Analyst performs various responsibilities within LPL’s AML Compliance Governance, Advisory, and Training team. This individual will be involved in AML Compliance’s governance program, supporting risk oversight tasks, developing and delivering training, understanding and interpreting existing and/or new regulations and regulatory guidance, creating and/or updating existing policies and procedures. The Senior Analyst may also be involved in LPL’s trust affiliates as needed.
Responsibilities:
The collection and preparation of AML Governance Committee metrics, KRIs/KPIs, and presentations
The annual AML and OFAC Risk Assessments
Policies and procedures updates
Risk reviews
Financial Crimes related training
AML and OFAC support activities for the affiliated trust companies
Provides support to AML Leadership with various tasks as needed
What are we looking for?
We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.
Requirements:
Bachelor's degree
3+ years of experience in financial crime ideally involving governance, regulatory review and interpretation, risk assessments, and other types of AML governance and advisory activities. Cross functional experience in AML operational programs such as investigation or customer due diligence also helpful.
In-depth knowledge of AML laws, regulations, and industry best practices including, but not limited to the Bank Secrecy Act (BSA), USA PATRIOT Act, and Office of Foreign Assets (OFAC) Regulations.
Strong knowledge of the brokerage and advisory industry.
Core Competencies:
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 details and form depending on the audience.
Ability to identify risk issues related to financial crime, knowledge to provide guidance when warranted, and insight to appropriately escalate issue to others for further guidance.
Developing strategic thinking to understand how the work they do impacts the overall AML program and fits into the broader mission of the firm.
#LI-PA
Pay Range:
$71,700-$119,500/yearCompany Overview:
LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace. LPL supports over 29,000 financial advisors and the wealth-management practices of 1,100 financial institution, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.
At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.
For further information about LPL, please visit www.lpl.com.
Join LPL Financial: Where Your Potential Meets Opportunity
At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.
Why LPL?
Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!
Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!
Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!
Impactful Work: Our size is just right for you to make a real impact. Learn more here!
Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!
Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!
Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!
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.
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