Skip to main content
Search Jobs

Growth. Innovation. Stability. Connect with a great future.

Senior Investigator

Apply Now
Job ID R-025493 Date posted 09/15/2022 Primary Location CA-San Diego Other Locations SC-Fort Mill

Are you a team player? Are you curious to learn? 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 20,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. 

Job Overview:

The Investigations Group within LPL’s Legal department is responsible for investigating matters involving potential fraud and/or misconduct by the Firm’s associated persons, employees, contractors and vendors, as well activities, business practices or misconduct that involves violations of firm policies, procedures, or processes. The group also proactively identifies potential areas of exposure within the company and provides advice to senior management and appropriate firm committees.

The Senior Investigator will report to the Head of Investigations and will manage a team of other lawyers and investigators.  The successful candidate will have prior experience supporting investigations and conducting in depth analysis on high profile or sensitive subject matters.  This role interacts frequently with the firm’s Legal, Compliance, Risk, and Operations departments and works closely with Anti-Money Laundering, Business Risk Management, Litigation, and Whistleblower teams.

The position will be located in the Ft. Mill or San Diego offices.

Responsibilities:

  • Engage with various internal partners to investigate matters involving potential misconduct by financial advisors and employees.
  • Conduct detailed money movement and bank record analysis and identify potential red flags for escalation.
  • Conduct and facilitate detailed review of emails providing analysis of findings to lead investigators.
  • Support other investigators and conduct interviews related to investigations.
  • Review account statements, trade records, conduct public record searches and use other investigative techniques (as described below) to uncover material information germane to investigations
  • Draft initial case assessments and develop work plans, prepare interview summaries, and draft and review written summaries of investigations.
  • Support next steps as warranted (e.g., escalations, oral and written case briefings, case closure).

What are we looking for?

We want team members who are strong collaborators and 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.

Requirements:

  • Minimum of five years’ investigative experience at a financial services firm, regulatory body, law enforcement agency, or similar organization, investigating matters involving misappropriation, theft, fraud, etc.
  • Knowledge of processes, tools and techniques for detecting fraud, money laundering and other misconduct
  • Relevant certifications, designations (Certified Fraud Examiner) or securities licenses (Series 7 and/or Series 24) or equivalent are a plus
  • Ability to travel as needed.

Core Competencies:

  • Excellent oral and written communication skills, including experience in conducting interviews.
  • Strong interpersonal skills and an ability to interact with senior business and compliance partners across the firm.
  • Proven ability to multi-task.

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 take social responsibility seriously.  Learn more here!

Want to see info on our benefits?  Learn more here.

  • Understanding of FINRA, SEC and AML regulatory requirements
  • Past experience using email discovery tools 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 @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.

Apply Now
Video Called We are LPL

Here from our
employees on what it's like to work at lpl?

Learn More

We take social responsibility seriously.

Learn More

Want to see info on our benefits?

Learn More

Sign Up for LPL's Talent Community

Let’s stay connected! By joining the LPL Talent Community, you will automatically receive a notification any time a job opens that matches your individual preferences so that you can be the first to apply. You will also receive other content, news, and information that matches your interests and career aspirations. Don’t worry, LPL will not inundate you with emails and you can unsubscribe at any time.

Interested InSearch for a category and select one from the list of suggestions. Search for a location and select one from the list of suggestions. Finally, click “Add” to create your job alert.

  • Compliance, San Diego, California, United StatesRemove
  • Compliance, Fort Mill, South Carolina, United StatesRemove

By submitting your information, you acknowledge that you have read our privacy policy and consent to receive email communication from LPL Financial.