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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@lplfinancial.com.
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Senior Analyst, Financial Crimes Compliance Due Diligence

Job ID: R-022311 Date posted: 04/21/2022 Primary Location CA-San Diego Other Locations CA-Remote

Do you have a passion for researching and combating Money Laundering, Economic Sanctions and Fraud?

Are you comfortable making risk based decisions and escalating suspicious activity?

Are you detail oriented and work well in a high functioning fast-paced environment?  

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

Job Overview

The Financial Crimes Compliance (FCC) Due Diligence team is looking for a driven and self-motivated individual to join the team.

The FCC Due Diligence Sr. Analyst, 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 Sr. 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.

What will you do?

The responsibilities of a Financial Crimes Compliance Due Diligence Analyst include but are not limited to:

  • 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.
  • Conduct secondary reviews negative news and OFAC/Watch List/Politically Exposed Persons (PEP) alerts generated by automated systems.
  • Assisting Management with decision making and escalating potential suspicious activity.
  • Interact with internal and external partners as needed to research and resolve issues.
  • Drive revisions to policies and procedures to enhance FCC compliance efforts.
  • Track work internally for individual and team operational performance.

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?

  • Bachelor’s Degree
  • Minimum 3+ years of working knowledge of anti-money laundering and financial sanctions rules and regulations
  • FINRA licenses, ACAMS or ACFE certifications and knowledge of the brokerage industry preferred
  • Excellent written and oral communication skills with the ability to make risk-based decisions and present information to different levels of audiences.
  • High level of analytical and problem-solving skills, desire to learn quickly, be flexible and think strategically with attention to detail and quality assurance

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 @lplfinancial.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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