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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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Sr Investigator, FIU

Job ID: R-024756 Date posted: 07/29/2022 Primary Location CA-San Diego

Senior Investigator - AML Investigations (Financial Crimes Compliance), reporting to the AML 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.

ESSENTIAL FUNCTIONS:
* Support AML 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.
* 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.

EDUCATION/ CERTIFICATIONS/ EXPERIENCE:
* 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

REQUIRED SKILLS:
* 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

PREFERRED SKILLS:
* Knowledge of the Brokerage Industry
* FINRA Licenses are a plus
* CFE and/or CAMs Certification is 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.

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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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