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Senior Investigator, Financial Crimes Compliance

Job ID: R-023061 Date posted: 05/09/2022 Primary Location SC-Fort Mill

Are you a team player with a growth mindset? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Senior Investigator – Senior Investor Protection Investigations (SIP), reporting to the SIP Investigations Manager, will be responsible for conducting in depth investigations to reasonably ensure senior and vulnerable adult protection as well as ensure the Firm’s compliance with the FINRA, state, and other federal regulations and engaging with key internal partners on risk mitigation activities.

• Program Execution
• Responsible for performing complex investigations involving red flags indicative of potential elder financial exploitation and/or diminished capacity

• Research and verify the accuracy of information obtained through referrals and in the context of investigations.
• Conduct
interviews and build effective partnerships to collaborate with internal and external partners.

·Placing disbursement holds on accounts in accordance with applicable regulations and firm policies

·Educate Advisors, and home office employees to assist in mitigating elder financial exploitation and detecting diminished capacity.

Create and manage case files for investigations.
• Draft narratives explaining the basis for the Firm’s decision on whether filing with state agencies is warranted

• Partner with local, state, and federal law enforcement to respond to questions and inquiries of suspicious activity in client accounts.
• Effectively communicate with and provide key services to external branch office personnel (OSJs, Advisors, administrative assistants).
• Partner with internal departments to thoroughly investigate potentially suspicious activity and on risk mitigation activities.
• Collaborate with team to implement initiatives and projects sponsored and approved by management.
• Assist in providing internal training on the Firm’s Senior Investor related programs, policies, and procedures.
• Act as a resource and provide guidance to team members on challenging investigations.
• Working with Law Enforcement, Regulatory Authorities, and Peer Institutions
• Serve as a liaison with relevant law enforcement, regulatory authorities, and peer institutions in relation to senior/vulnerable adult and fraud matters.

• Bachelor’s Degree and/or equivalent experience preferred
• Professional licenses/certifications (i.e., FINRA Series 7, CAMS, CFE) preferred
• Minimum 1-3 years of Senior Investor Protection Investigations/Financial Crimes/Fraud alert processing/investigations and/or AML alert processing/investigations experience
• Minimum 1-2 years’ experience in reviewing transactions in bank and/or brokerage accounts

• High level of analytical skills and problem-solving

Knowledge of FINRA Rule 2165 and related state securities legislation

• Ability to multi-task, work well under pressure with commitment to deliver under tight deadlines
• Working knowledge of Fraud regulatory requirements
• Working knowledge of Financial Crime Detection software, i.e. Mantas
• Assist fellow Senior Investigators and Management with escalating potential risks
• Strong PC skills (Microsoft Office with emphasis on Excel)
• Excellent interviewing, written and oral communication skills with the ability to present information in differing degrees of details and form depending on the audience
• Strong judgment and experience with escalation of matters and recommended solutions
• Attention to detail and quality assurance
• Knowledge of the Brokerage Industry
• FINRA Licenses are a plus
• CFE and/or CAMs Certification is a plus

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 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