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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

Job ID: R-018829 Date posted: 11/01/2021 Primary Location CA-San Diego Other Locations SC-Fort Mill

Sr. Investigator

The Sr. Investigator position will report to a Vice President in the Investigations Group (INV).  The position will be located in the Ft. Mill or San Diego office.  INV is situated within the Regulatory Group of LPL’s Legal Department and works closely with the firm’s Anti-Money Laundering, Business Risk Management, Compliance, Litigation, and Whistleblower groups.  INV investigates matters involving potential misconduct by financial advisors and employees, proactively identifies potential areas of exposure within the company, and provides advice to senior management and appropriate firm committees.

The successful candidate will be responsible for supporting privileged investigations and conducting in depth analysis on high profile or sensitive subject matters.  

Key Responsibilities Include:

  • 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)

Qualifications:

  • The successful candidate will have a 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.
  • Excellent oral and written communication skills, including experience in conducting interviews
  • Strong judgment and experience with escalation of matters and recommended solution
  • Strong attention to detail
  • Strong skills in MS Office; Excel, Access, Outlook, Word, PowerPoint, etc.
  • Knowledge of processes, tools and techniques for detecting fraud, money laundering and other misconduct
  • Prioritize and successfully manage multiple cases, tasks and deadlines
  • Strong Research and Investigation Skills
  • College degree required
  • Relevant certifications, designations (Certified Fraud Examiner) or securities licenses (Series 7 and/or Series 24) or equivalent are a plus
  • Familiarity with 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.

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