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Analyst, Ops Fraud Risk

Job ID: R-011940 Date posted: 11/16/2020 Primary Location SC-Fort Mill

The Fraud Analyst role will be responsible for reviewing and analyzing underlying data gathered to assess reasonable cause to escalate an inquiry related to fraud.  The data would be accompanied by full documentation, supporting artifacts to include internal and external due diligence checks as well as a business case justification.  The Analyst will work primarily at an individual level, but will collaborate closely with members of the financial intelligence unit (FIU); Compliance, Legal, and Risk (CLR), service trading and operations (STO) risk personnel as well as key business partners.

Essential Functions:

  • Ability to analyze large data sets and find the commonalities
  • Monitoring existing fraud models/strategies and ensuring that they meet false-positive and detection rate criteria; explains variances and recommends remedial actions; mine customer, account, and transactional data to develop segmentation to improve fraud detection and minimize impact to legitimate transactions
  • Strong partnership with fraud detection effectively managing the oversight of workflow queue alert prioritization and effectiveness based on ROI
  • Ensuring that all activities and duties are carried out in full compliance with regulatory requirements, Risk Management Framework, and internal LPL Financial Policies and Policy Standards
  • Developing, implementing, monitoring, and providing performance tracking of transactions and account level management of fraud strategies and fraud mitigation tools, including monetary and non-monetary events
  • Conducting an ongoing analysis to identify the root cause of fraud trends
  • Collaborating with other Fraud teams to deliver the requirements for the implementation of new fraud strategies
  • Effectively managing competing priorities of requests working under strict deliverables
  • Ability to identify gaps or risk in policies along with the technical skills to create reports
  • Managing existing operational policies and procedures as well as the creation of new guidelines to more accurately identify and document fraud, fraud prevention, and the like


  • Bachelor’s Degree in Business, Economics, Accounting/Finance and/or equivalent experience preferred
  • Professional licenses/certifications (e.g. CFE or CAMS,); a plus
  • 1 – 3 years of industry experience (preferably in Fraud Investigations)
  • Experience with Equifax, LexisNexis, TransUnion, or other information security providers a plus

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 regulatory requirements (preferably AML / Fraud)
  • Proficient in MS Office (Word, Access, Excel, PowerPoint, Visio)
  • Assist Senior Analysts where necessary
  • Excellent written and verbal communication skills with the ability to present information in differing degrees of details and form depending on the audience
  • Strong judgment and experience with the escalation of matters and recommended solutions
  • Able to adapt to changing priorities with attention to detail and quality assurance

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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We take social responsibility seriously. Learn more here

Want to see info on our benefits?  Learn more here

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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  • Compliance, Fort Mill, South Carolina, United StatesRemove