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Analyst, FCC

Job ID: R-020472 Date posted: 01/10/2022 Primary Location SC-Fort Mill Other Locations CA-San Diego

Analyst – Financial Crimes Compliance (FCC) Analyst, reporting to the AML Investigations Manager, will be responsible for reviewing and analyzing underlying data gathered to disposition and fully document all inquiries to FCC, prepare case files, and assess reasonable cause to escalate an inquiry to investigations within a timely manner.


  • Program Execution
  • Research and verify the accuracy of information obtained through referrals
  • Conduct Q&A and build effective partnerships to collaborate with internal and external partners
  • Create and manage case files for referrals.
  • Effectively communicate with and provide key services to external branch office personnel (OSJs,         Advisors, administrative assistants).
  • Collaborate with team to implement initiatives and projects sponsored and approved by management.
  • Ownership of updating procedures as necessary
  • Open Investigations within case management
  • Prepare case files/documentation


  • Bachelor’s Degree and/or equivalent experience preferred
  • Professional licenses/certifications (i.e., FINRA Series 7, CAMS, CFE)
  • Minimum 1-2 years’ experience in reviewing transactions in bank and/or brokerage accounts


  • High level of analytical skills and problem-solving
  • Ability to multi-task, work well under pressure with commitment to deliver under tight deadlines
  • Working knowledge of regulatory requirements
  • Strong PC skills (Microsoft Office with emphasis on Excel)
  • Excellent written and oral communication skills with the ability to present information in differing degrees of details and form depending on the audience
  • Strong judgment and experience with escalation of matters and recommended solutions
  • Attention to detail and quality assurance


  • Knowledge of the Brokerage Industry
  • FINRA Licenses are a plus
  • CFE and/or CAMS Certification is a plus

Compensation Grade:


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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 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.

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