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Analyst, FIU

Job ID: R-006556 Date posted: 04/16/2019 Primary Location SC-Fort Mill

LPL Financial is seeking an Analyst– Quality Control (QC) team within the Financial Crimes Compliance (FCC) department, which is a part of LPL’s Compliance, Legal and Risk (CLR) organization.  This position will be part of the AML Program Management Team whose mission is to assist the firm to comply with the requirements of the Bank Secrecy Act, USA PATRIOT Act, and financial sanctions, and rules and guidance from the SEC, FINRA, FinCEN, and OFAC.

Position Description:

The Quality Control Analyst reports to the Assistant Vice President of Program Management 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 as it pertains to Anti-Money Laundering (AML), Fraud, and the Office of Foreign Assets Control (OFAC) controls to ensure firm-wide compliance with the BSA and the USA Patriot Act, OFAC and other guidance as published by the SEC, FINRA, and FinCEN.  In addition, the Analyst will assist the team on AML special project work and reviewing regulatory changes to assess AML impact on the LPL business.


  • Quality Control Reporting
    • Assist with the enhancement of the QC processes for AML functions around Due Diligence, Investigations, and Surveillance processes and the Private Trust Company (PTC).
    • Assisting Management with development and execution of the delivery of the QC summary report to the Chief AML Officer.
    • Collaborate with departments outside of FCC to pull QC data to develop methodology and metrics for QC report.


  • Bachelor’s Degree and/or post graduate experience preferred
  • Minimum 1-5 years of Financial Crimes experience preferred
  • Knowledge and/or experience in the Brokerage Industry preferred
  • Working knowledge of Anti-Money Laundering rules and regulations
  • High level of analytical, problem-solving and decision making skills
  • Strong PC skills (Microsoft Office with emphasis on Excel and PowerPoint )
  • Strong judgment,  excellent written and communication skills with the ability to present information in differing degrees of details and form depending on the audience
  • 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

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