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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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Quality Control Analyst, Financial Crimes Compliance

Job ID: R-011993 Date posted: 11/17/2020 Primary Location SC-Fort Mill

Do you have a passion for …

Analysis and problem solving?

Would you like to …

Collaborate with different LPL teams to determine opportunities for enhancement by identifying trends and committing to deliver metrics.

Have you …

Work in different financial environments where you have had the opportunity to foster process consistency and accountability?

Excited to learn more? If so, then this could be the role for you! 

Job overview: Assist Quality Control Manager to provide a robust AML program to validate processes and procedures for all operational teams’ across the firm. As we collaborate with other departments and determine process enhancements, we contribute to the one team on one mission and we seek, embrace and apply feedback. In addition, analyst may also assist with AML special projects, metrics reporting and support other FCC and CLR initiatives.

What will you do?

  • Day to day management and execution of assigned QC processes
  • Recognize and recommend enhancement opportunities within the various QC processes for AML, Fraud, and OFAC functions including:  Customer Due Diligence, Investigations, Surveillance, and the Private Trust Company (PTC).
  • Assist Management with development and execution of the delivery of the QC process 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.
  • Help identify trends and promote learning and training opportunities

Please note: Additional responsibilities or duties may be assigned to you as needed or determined.

What does your success look like in the first 90 days?

  • Being able to manage an assigned QC process
  • Understand and report the trend criteria for the assigned tasks

What are we looking for?

We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement

What skills, experiences, and education are required?

  • Attention to detail and quality assurance
  • Proven ability to build strong partnerships with colleagues, desire to learn quickly, be flexible and think strategically
  • Bachelor’s Degree and/or post graduate experience preferred
  • Minimum 1-5 years of Financial Crimes experience, Anti-Money Laundering rules and regulations with brokerage industry preferred
  • 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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  • Compliance, Fort Mill, South Carolina, United StatesRemove