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Analyst, FIU

Job ID: R-002108 Date posted: 01/26/2018 Primary Location SC-Fort Mill

We are currently seeking an Analyst within AML Surveillance, which is a part of LPL’s Compliance, Legal & Risk (CLR) organization.

The Analyst, reporting to an AML Surveillance Manager will be responsible for conducting the review of alerted transactions from the Transactional Monitoring System.

Essential Functions:

  • Review and analyze, in a timely manner, alerted activity within the FIU transactional monitoring system.
  • Utilize sound judgement to evaluate review findings and close accordingly, including   determination of whether to escalate, where appropriate, alerts for further analysis.
  • Fully document the review of alerted activity within the FIU transactional monitoring system, including supporting data, analysis and rationale for disposition.
  • Participate in individual and department goal development and execute on tactical strategies for goal attainment.
  • Work and communicate with internal staff and independent financial advisors and supervisory personnel to resolve alerted transactions.


  • 1-3 years of financial crimes alert processing/investigations, AML alert processing/investigations experience preferred.
  • Minimum 1-3 years of broker-dealer experience.
  • Bachelor’s Degree and/or equivalent experience preferred.
  • Working knowledge of AML, EDD and KYC regulatory requirements.
  • Strong analytical skills, problem-solving, good critical thinking and decision making skills.
  • Working knowledge of financial crime detection software, i.e. Mantas, Actimize, SAS or other prevalent transaction monitoring system preferred.
  • Ability to work independently in a fast paced/high volume environment with limited supervision.
  • Ability to multi-task and work effectively.
  • Self-motivated and results-oriented team player.
  • Capable of prioritizing and meeting deadlines with strong attention to detail and quality of work.
  • Professional demeanor in dealing with internal and external clients.
  • Strong PC skills (Microsoft Office with emphasis on Excel).
  • Excellent written and oral communication skills.
  • ACAMS Certification preferred.
  • FINRA Series 7 preferred.

Our Company:

LPL Financial, the nation’s largest independent broker/dealer since 1996* and the fourth largest broker/dealer overall, serves as an enabling partner to more than 14,000 independent financial advisors and approximately 700 financial institutions. Since its formation decades ago, LPL has focused on one primary mission -- enabling independent financial advisors to bring objective and un-biased financial advice to millions of Americans. 

Headquartered in Boston, San Diego, and Fort Mill, and powered by more than 3,300 client-centric employees, LPL is financially strong and growing.

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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