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Sr Investigator, FCC

Job ID: R-007657 Date posted: 09/13/2019 Primary Location SC-Fort Mill

Senior Investigator – Negative News Investigations (Financial Crimes Compliance), reporting to the Negative News Investigations Manager, will be responsible for conducting in depth investigations and filing Suspicious Activity Reports (SARs) to reasonably ensure the Firm’s compliance with the Bank Secrecy Act (BSA), the USA PATRIOT Act, and other guidance as published by the SEC, FINRA, FinCEN, FATF, OFAC, and the US Treasury Department, and engaging with key internal partners on risk mitigation activities.

• Program Execution
• Responsible for performing complex investigations involving red flags indicative of potential fraud, money laundering and other suspicious activity.
• Research and verify the accuracy of information obtained through referrals and in the context of investigations.
• Create and manage case files for investigations.
• Draft narratives explaining the basis for the Firm’s decision on whether the filing of a Suspicious Activity Report (SAR) is warranted.
• Partner with local, state, and federal law enforcement to respond to questions and inquiries of suspicious activity in client accounts.
• Initiate and respond to 314a/314b inquiries from law enforcement and financial institutions.
• 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 AML 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 AML 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 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
• Ability to multi-task, work well under pressure with commitment to deliver under tight deadlines
• Working knowledge of AML and Fraud regulatory requirements
• Working knowledge of Financial Crime Detection software, i.e. Mantas, SAS, Actimize, or similar
• Assist fellow Senior Investigators and Management with escalating potential risks
• Strong PC skills (Microsoft Office with emphasis on Excel)
• 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
• Knowledge of the Brokerage Industry
• FINRA Licenses are a plus
• CFE and/or CAMs Certification is a plus

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