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Manager - Financial Crimes Compliance Due Diligence

Job ID: R-007818 Date posted: 10/07/2019 Primary Location SC-Fort Mill

This position will have responsibilities concerning the day-to-day oversight, management, and organization of the Financial Crimes Compliance Due Diligence Team


The Financial Crimes Compliance Due Diligence team conducts reviews pertaining to the LPL Anti-Money Laundering (AML)/Counter Terrorism Financing (CTF) Policy, Office of Foreign Assets Control (OFAC) Policy, and Know Your Customer (KYC)/Enhanced Due Diligence (EDD) best practices.  These reviews contribute to Bank Secrecy Act (BSA), USA PATRIOT Act, OFAC, Financial Crimes Enforcement Network (FinCEN), SEC and FINRA compliance.


  • Lead a team of AML professionals through day-to-day operations including monitoring daily assignments, overseeing daily progress and deploying resources to meet changing regulatory requirements.
  • Organize and provide training for both Due Diligence Team new hires and ongoing training for full time employees.
  • Support the growth and development of all Due Diligence Team Members (e.g., scheduling one-on-ones, yearly goal setting and training, compensation planning and formal performance evaluations).
  • Review and maintain Due Diligence Team procedures in accordance with departmental review cycles.
  • Identify and/or support escalated items, categorize importance and communicate priority items to Sr. Management.
  • Provide metrics reporting to Sr. Management
  • Support Quality Control and Audit functions as needed.


  • Bachelor’s Degree
  • Professional licenses/certifications (FINRA Series 7 and/or 24, ACAMS, CFE) preferred
  • Minimum 1-3 years of Financial Crimes Compliance experience
  • Prior management experience a plus
  • Working knowledge of the AML/CTF/OFAC rules and regulations
  • Working knowledge of the brokerage industry preferred
  • Strong Microsoft Office Skills (Word, Excel and PowerPoint)
  • Excellent written and oral communication skills
  • Ability to present information articulately and tailor information to the audience
  • Strong attention to detail and desire to ensure high quality across reports
  • Ability to build partnerships with colleagues across business channels
  • Ability to multi-task and adapt to new challenges under pressure
  • Ability to think strategically, identify risks and propose solutions

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