VP, Head of AML Compliance & Surveillance Technology

Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? 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!

Job Objective:

We are seeking a visionary leader to serve as the Head of AML Compliance and Surveillance Technology, responsible for transforming the AML and surveillance space using AI and advanced analytics. This role will drive the development and deployment of cutting-edge compliance technologies, ensuring that our firm remains at the forefront of financial crime detection and prevention. The ideal candidate will bridge compliance, risk, and technology, leveraging artificial intelligence and machine learning to enhance transaction monitoring, trade surveillance, and regulatory compliance processes.

Strategic Leadership & Compliance Innovation:

• Develop and execute a strategic roadmap working with Product and Business partners for AI-driven AML compliance and surveillance technology, aligning with regulatory requirements and industry best practices.

• Identify opportunities for AI and machine learning applications to enhance financial crime detection, reduce false positives, and improve operational efficiency.

• Serve as the primary technology leader for compliance, working with regulators, auditors, and internal stakeholders to ensure compliance with global AML standards.

AI-Powered Technology Implementation & Optimization:

• Lead the design, implementation, and transformation of AML and surveillance systems using AI-driven models.

• Oversee the development of predictive analytics, anomaly detection, and risk-scoring models to proactively identify suspicious activities.

• Ensure the integration of natural language processing (NLP), network analysis, and deep learning techniques into compliance surveillance tools.

• Automate AML compliance workflows, leveraging AI for intelligent case management, pattern recognition, and enhanced risk assessment.

Risk Monitoring & Advanced Surveillance Techniques:

• Oversee the effectiveness of AI-powered surveillance systems in detecting financial crime risks, including money laundering, fraud, insider trading, and market abuse.

• Establish governance frameworks for AI-driven compliance technology, ensuring adherence to BSA, FinCEN, FATF, FCA, MAS, and other global AML regulations.

• Monitor emerging risks in financial crime compliance and propose proactive AI-based solutions.

Stakeholder Management & Cross-Functional Collaboration:

• Act as a liaison between compliance, IT, operations, and business teams to ensure seamless integration of compliance technology.

• Partner with external vendors and fintech providers to explore innovative AML surveillance tools.

• Drive a culture of continuous improvement, regulatory adherence, and technological innovation.

Requirements:

• Bachelor’s or Master’s degree in Artificial Intelligence, Data Science, Computer Science, Information Technology, Finance, or a related field.

• 10+ years of experience in Full- stack development designing interactive web applications, developing microservices, public cloud solutions, web services (REST APIs), Kafka messaging, and integration

• 10+ years of experience within a combination of .NET, Angular, JavaScript, C#, SQL server, AWS (container and server-less), Git, Visual Studio and/or front-end technologies.

• Strong leadership in AI-powered risk modeling, advanced analytics, and automation.

• Excellent stakeholder management and communication skills to advocate for AI adoption in compliance.

Preferred Skills:

• Financial-industry experience, particularly in wealth & asset management organization

• Experience working in Risk and Compliance technologies including AML, Surveillance and Risk Management.

#LI-PA

Pay Range:

$155,288-$258,813/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?

• 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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