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Analyst – Financial Crimes Compliance Due Diligence

Job ID: R-010226 Date posted: 06/30/2020 Primary Location CA-San Diego

Analyst – Financial Crimes Compliance Due Diligence reporting to the Due Diligence Manager, will be responsible for conducting Due Diligence as it pertains to Anti-Money Laundering (AML), Fraud, and the Office of Foreign Assets Control (OFAC) compliance.  The Analyst will be a key member of the team whose mission is to comply with Due Diligence related requirements of the Bank Secrecy Act, financial sanctions, and rules and guidance from the SEC, FINRA, FinCEN, and OFAC.


  • Perform due diligence, including Enhanced Due Diligence (EDD), and assessing the risk of new customers to the firm, documenting findings, ensuring that management is apprised of key issues, risks, and the appropriate monitoring to mitigate risk.
  • Review negative news and OFAC/Watch List/Politically Exposed Persons (PEP) alerts generated by automated systems.
  • Assisting Senior Analysts and Management with identifying and escalating potential suspicious activity.
  • Interact with internal and external partners as needed to research and resolve issues.
  • Suggest revisions to policies and procedures to enhance FIU compliance efforts.
  • Track work internally for individual and team operational performance.


  • Bachelor’s Degree
  • Professional licenses/certifications (i.e., FINRA Series 7, ACAM, CFE) preferred
  • Minimum 3+ years of financial crimes alert processing/investigations experience preferred
  • Knowledge of the brokerage industry preferred
  • High level of analytical and problem-solving skills
  • Working knowledge of anti-money laundering and financial sanctions rules and regulations
  • High level of analytical and problem-solving skills
  • Strong PC skills (Microsoft Office with emphasis on Word, Excel and PowerPoint)
  • Excellent written and oral communication skills with the ability to present information in differing degrees of details and form depending on the audience
  • Attention to detail and quality assurance
  • Proven ability to build strong partnerships with colleagues, desire to learn quickly, be flexible and think strategically
  • Ability to multi-task, work well under pressure with commitment to deliver under tight deadlines

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 4,200 employees with primary offices in Boston, Charlotte, and San Diego.

*As reported by Financial Planning magazine, June 1996-2019, based on total revenue.

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 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, San Diego, California, United StatesRemove