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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
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Manager - Financial Crimes Compliance

Job ID: R-022405 Date posted: 04/07/2022 Primary Location SC-Remote Other Locations CA-Remote

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!

Excited to learn more? If so, then this could be the role 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 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Manager – Financial Crimes Compliance Due Diligence - This position will have responsibilities concerning the day-to-day oversight, management, and organization of the Financial Crimes Compliance Due Diligence Team.  The Financial Crimes Compliance Due Diligence team conducts reviews pertaining to the LPL firm Anti-Money Laundering (AML)/Counter Terrorism Financing (CTF) Policy, Office of Foreign Assets Control (OFAC) Policy, and Know Your Customer (KYC)/Enhanced Due Diligence (EDD) best practices.  These reviews contribute to Bank Secrecy Act (BSA), USA PATRIOT Act, OFAC, Financial Crimes Enforcement Network (FinCEN), SEC and FINRA compliance.


  • Lead a team of AML professionals through day-to-day operations including monitoring daily assignments, overseeing daily progress and deploying resources to meet changing requirements.
  • Organize and provide training for both Due Diligence Team new hires and ongoing training for full time employees.
  • Support the growth and development of all Due Diligence Team Members including scheduled one-on-ones, yearly goal setting and training, compensation planning and formal performance evaluations.
  • Review and maintain Due Diligence Team procedures, including fulfilling the annual procedures review cycle.
  • Identify and support escalated items, categorize importance and communicate priority items to Sr. Management.
  • Report team metrics to Sr. Management on an agreed upon schedule.
  • Support internal QC and Audit functions as needed.


  • Bachelor’s Degree
  • Professional licenses/certifications (FINRA Series 7 and/or 24, ACAMS, CFE) preferred
  • Minimum 1-3 years of Management experience
  • Minimum 5 years of Financial Crimes Compliance experience
  • Working knowledge of the AML/CTF rules and regulations mandatory
  • Working knowledge of the brokerage industry preferred
  • Strong Microsoft Office Skills (Word, Excel and PowerPoint)
  • Excellent written and oral communication skills
  • Strong attention to detail and desire to ensure high quality across reports
  • Ability to coach, lead and develop employees
  • Ability to present information articulately and tailor information to the audience
  • Ability to build partnerships with colleagues across business channels
  • Ability to multi-tasks and adapt to new challenges under pressure
  • Ability to think strategically, identify risks and propose solutions

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 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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