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SVP, Financial Crimes Compliance

Job ID: R-009172 Date posted: 03/18/2020 Primary Location CA-San Diego

Develops, implements, administers, and maintains all aspects of the firm’s Bank Secrecy Act/Anti-Money Laundering Compliance Program. This role requires comprehensive knowledge and skills in all areas of BSA/AML compliance and the ability to independently recognize, develop, and implement effective compliance related solutions for the BSA/AML program. The SVP will engage with all levels and departments across the firm, including providing advice on complex BSA/AML issues.


  • 10 or more years of in-depth anti-money laundering experience
  • 10 or more years of financial institution experience (wealth management and/or bank)
  • Extensive experience with drafting and implementing Bank Secrecy Act/Anti-Money Laundering (BSA/AML) policies and procedures, creating and delivering general and targeted training, conducting risk assessments
  • Experience in developing and delivering BSA/AML advice and guidance to business partners
  • Familiarity with Customer Due Diligence, BSA/AML Surveillance and Investigations requirements and processes
  • JD preferred
  • Familiarity with fraud, Office of Foreign Assets Control (OFAC) sanctions, anti-bribery preferred
  • ACAMS, CFE a plus

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