Are you solution-oriented and passionate about delivering results? Do you like thinking outside the box, learning new skills, and problem-solving? Do you like supporting clients by offering an extraordinary quality service experience? Are you excited to learn more? If so, then this could be the role 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 18,000 financial advisors, 800 institution-based investment programs and 450 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:

LPL Financial is seeking an Analyst – AML Quality Assurance team within the Financial Crimes Compliance (FCC) department. The Quality Assurance Analyst reports to the Quality Assurance Manager and will be responsible for assisting in providing AML Program Management oversight for LPL Financial and its affiliate, PTC, a trust company. Primary responsibilities include validation of processes and procedures for operational teams across the firm as it pertains to Anti-Money Laundering (AML), Fraud, and the Office of Foreign Assets Control (OFAC) controls to help drive firm-wide compliance with the BSA, USA PATRIOT Act, OFAC and other guidance as published by the SEC, FINRA, and FinCEN. In addition, the Analyst may also assist with AML special project work, FCC metrics reporting, and supporting other FCC or Compliance initiatives.

Responsibilities:

• Day to day management and execution of assigned QA processes.

• Recognize and recommend enhancement opportunities within the various QC processes for AML, Fraud, and OFAC functions including: Customer Due Diligence, Investigations, Surveillance, and the Private Trust Company (PTC).

• Assisting Management with development and execution of the delivery of the QA process summary report to the Chief AML Officer.

• Collaborate with departments outside of FCC to pull QA data to develop methodology and metrics for QA report.

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 fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.

Requirements:

• Bachelor’s Degree or equivalent experience

• Minimum 3-5 years of Financial Crimes experience

Core Competencies:

• Working knowledge of Anti-Money Laundering rules and regulations

• High level of analytical and problem-solving skills

• Strong PC skills (Microsoft Office with emphasis on Excel and PowerPoint )

• Excellent written and verbal communication skills

• Strong judgment and excellent written skills with the ability to present information in differing degrees of details and form depending on the audience

• Good critical thinking and decision making skills

• Attention to detail and quality assurance

• Proven ability to build strong partnerships with colleagues, desire to learn quickly, be flexible and think strategically

• Ability to multi-task, work well under pressure with commitment to deliver under tight deadlines

Preferences:

• Post graduate experience

• Working knowledge of the Brokerage Industry

Pay Range:

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 (800) 877-7210.