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The health and safety of our employees and candidates is very important to us. Due to the current situation related to the Novel Coronavirus (COVID-19), we’re leveraging our digital capabilities to ensure we can continue to recruit top talent at LPL Financial.As your application progresses, you may be asked to use one of our digital tools to help you through your recruitment journey. If so, one of our recruiters will explain what type of interviewing technology will be used throughout the recruitment process and will be on hand to answer any questions that you have. You can also email us at LPLFinancialHiring@lpl.com.
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FCC Due Diligence Analyst

Job ID: R-012631 Date posted: 02/01/2021 Primary Location CA-San Diego Other Locations SC-Fort Mill , CA-Remote

Analyst – Financial Crimes Compliance Due Diligence reporting to the Due Diligence Manager, will be responsible for conducting Due Diligence as it pertains to Anti-Money Laundering (AML), Fraud, and the Office of Foreign Assets Control (OFAC) compliance.  The Analyst will be a key member of the team whose mission is to comply with Due Diligence related requirements of the Bank Secrecy Act, financial sanctions, and rules and guidance from the SEC, FINRA, FinCEN, and OFAC.

RESPONSIBLITIES

  • Perform due diligence, including Enhanced Due Diligence (EDD), and assessing the risk of new customers to the firm, documenting findings, ensuring that management is apprised of key issues, risks, and the appropriate monitoring to mitigate risk.
  • Review negative news and OFAC/Watch List/Politically Exposed Persons (PEP) alerts generated by automated systems.
  • Assisting Senior Analysts and Management with identifying and escalating potential suspicious activity.
  • Interact with internal and external partners as needed to research and resolve issues.
  • Suggest revisions to policies and procedures to enhance FIU compliance efforts.
  • Track work internally for individual and team operational performance.

QUALIFICATIONS

  • Bachelor’s Degree
  • Professional licenses/certifications (i.e., FINRA Series 7, ACAM, CFE) preferred
  • Minimum 3+ years of financial crimes alert processing/investigations experience preferred
  • Knowledge of the brokerage industry preferred
  • High level of analytical and problem-solving skills
  • Working knowledge of anti-money laundering and financial sanctions rules and regulations
  • High level of analytical and problem-solving skills
  • Strong PC skills (Microsoft Office with emphasis on Word, Excel and PowerPoint)
  • Excellent written and oral communication skills with the ability to present information in differing degrees of details and form depending on the audience
  • Attention to detail and quality assurance
  • 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 CLR

The Compliance, Legal & Risk (CLR) team is focused on delivering an industry-leading client service and risk management experience by providing advisors and our internal business partners with proactive guidance, advice, advocacy and consultative partnerships.

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.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

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 @lpl.com 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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