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:
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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.
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Performs testing for more complex processes and aids in developing testing plans.
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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:
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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:
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Knowledge of the brokerage and advisor industry.
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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.
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High level of analytical and problem-solving skills, desire to learn quickly, be flexible, and think strategically with attention to detail and accuracy.
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Excellent written and oral communication skills with the ability to present information in differing degrees of detail and form depending on the audience.
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Skill set specific to financial crimes risks not only to identify but also to provide appropriate risk mitigation solutions.
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Ability to provide mentorship and guidance to more junior team members.
Preferences:
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Certified Anti-Money Laundering Specialist (CAMs) Certification
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FINRA License Series 7 or 24
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Bachelor's degree
#LI-PA
Pay Range:
$71,700-$119,500/year
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!
Company Overview:
LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.
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.
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?
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Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!
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Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!
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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!
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Impactful Work: Our size is just right for you to make a real impact. Learn more here!
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Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!
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Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!
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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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Top Skills
What We Do
Financial advice is changing, and at LPL Financial, we’re at the forefront. We’re building a future where advisors can—with no friction or complexity, as simple as turning the dials—pick the business model, services, technology, and product mix that best meet their clients’ needs.
With one platform, one sign-on, and one team to call, you can take your business anywhere you want it to go. There are no limits to your growth, and we’ll partner with you every step of the way.
Your greatness is our goal.
LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL.com
Securities and Advisory Services offered through LPL Financial. A registered investment advisor, Member FINRA/SIPC.
