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Analyst, FIU

Job ID: R-005611 Date posted: 01/14/2019 Primary Location SC-Fort Mill

POSITION DESCRIPTION

Analyst – Investigations (Financial Crimes Investigations), reporting to the Investigations Manager, will be responsible for reviewing and analyzing underlying data gathered to assess reasonable cause to escalate an inquiry to an investigation; dispositioning and fully documenting all inquiries, including supporting data, analysis and rationale for closing or escalating, within in a timely manner; preparing case files; and participation in individual and department goal development and execution on tactical strategies for goal attainment.

ESSENTIAL FUNCTIONS:

  • Program Execution
  • Assist in the creation and management of case files for investigations.
  • Research and verify the accuracy of information obtained through referrals and in the context of investigations.
  • Track work internally for individual and team operational performance.
  • Collaborate with team to implement initiatives and projects sponsored and approved by management.
  • Assist in providing internal training on the Firm’s AML programs, policies, and procedures.

EDUCATION/ CERTIFICATIONS/ EXPERIENCE:

  • Bachelor’s Degree and/or equivalent experience preferred
  • Professional licenses/certifications (i.e., FINRA Series 7, CAMS, CFE) preferred
  • Knowledge of Financial Crime Detection software, i.e. Mantas, SAS, Actimize, or similar
  • Minimum 1-2 years’ experience in reviewing transactions in bank and/or brokerage accounts

REQUIRED SKILLS:

  • 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 AML and Fraud regulatory requirements
  • Assist fellow Senior Investigators and Management with escalating potential risks
  • 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

PREFERRED SKILLS:

  • Knowledge of the Brokerage Industry
  • Financial Crimes/Fraud alert processing/investigations and/or AML alert processing/investigations experience a plus
  • FINRA Licenses are a plus
  • CFE and/or CAMs Certification is a plus

About LPL Financial:

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 and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

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  • Compliance, Fort Mill, South Carolina, United StatesRemove