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Sr Analyst, Compliance

Job ID: R-002138 Date posted: 01/25/2018 Primary Location SC-Fort Mill

Senior Investigator - Senior Investor Compliance, which is a part of the Compliance, Legal and Risk (CLR) function, is seeking an experienced professional for its Senior Investigator position. 

In this challenging yet rewarding role, you will work to protect elderly and vulnerable clients from fraud and exploitation by conducting comprehensive investigations into suspected abuses.

Essential Functions:

  • Investigation
    • Independently conducting detailed investigations into financial crimes, civil crimes, legal disputes, or similar matters. 
  • Written communication
    • Send written reports to regulators, law enforcement, senior management, outside counsel, and other high profile audiences on a routine basis.  Writing must be concise, clear, and grammatically correct; attention to detail is a must. 
  • Verbal communication
    • Interview a variety of subjects in a respectful yet detailed manner.  Oral reports are routinely provided to senior management and various committees. 
  • Customer care
    • Provide exceptional service to Financial Advisors.  Dedicated to treating clients with dignity and respect while conducting investigations, making reports, and handling other sensitive matters.

Education/ Certifications Experience:

  • Bachelor Degree and/or equivalent experience referred
  • Minimum 1-2 years of any combination of the following: Financial Crimes/ Fraud alert processing/ Elder Financial Exploitation Investigations/ reviewing transactions in bank and/or brokerage accounts and/or AML alert processing/investigations experience

Preferred Skills and Background:

  • Knowledge of financial services industry, financial products, and regulators such as FINRA and the SEC.
  • Understanding of various legal instruments such as POA’s and Trusts.
  • Familiarity with social services programs and agencies such as Adult Protective Services.
  • Working knowledge of Microsoft Office and other common applications.
  • High level of analytical skills and problem-solving
  • Excellent 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

Our Company:

LPL Financial, the nation’s largest independent broker/dealer since 1996* and the fourth largest broker/dealer overall, serves as an enabling partner to more than 14,000 independent financial advisors and approximately 700 financial institutions. Since its formation decades ago, LPL has focused on one primary mission -- enabling independent financial advisors to bring objective and un-biased financial advice to millions of Americans. 

Headquartered in Boston, San Diego, and Fort Mill, and powered by more than 3,300 client-centric employees, LPL is financially strong and growing.

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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