What are the responsibilities and job description for the Senior Analyst, AML Compliance Governance, Advisory, and Training position at LPL Financial?
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!
Role Overview:
The AML Compliance Senior Analyst performs various responsibilities within LPL’s AML Compliance Governance, Advisory, and Training team. This individual will be involved in AML Compliance’s governance program, supporting risk oversight tasks, developing and delivering training, understanding and interpreting existing and/or new regulations and regulatory guidance, creating and/or updating existing policies and procedures. The Senior Analyst may also be involved in LPL’s trust affiliates as needed.
Responsibilities:
$71,700-$119,500/year
Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
Company Overview:
LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.
At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.
Join LPL Financial: Where Your Potential Meets Opportunity
At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.
Why LPL?
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 (855) 575-6947.
EAC1.22.25
Role Overview:
The AML Compliance Senior Analyst performs various responsibilities within LPL’s AML Compliance Governance, Advisory, and Training team. This individual will be involved in AML Compliance’s governance program, supporting risk oversight tasks, developing and delivering training, understanding and interpreting existing and/or new regulations and regulatory guidance, creating and/or updating existing policies and procedures. The Senior Analyst may also be involved in LPL’s trust affiliates as needed.
Responsibilities:
- The collection and preparation of AML Governance Committee metrics, KRIs/KPIs, and presentations
- The annual AML and OFAC Risk Assessments
- Policies and procedures updates
- Risk reviews
- Financial Crimes related training
- AML and OFAC support activities for the affiliated trust companies
- Provides support to AML Leadership with various tasks as needed
- Bachelor's degree
- 3 years of experience in financial crime ideally involving governance, regulatory review and interpretation, risk assessments, and other types of AML governance and advisory activities. Cross functional experience in AML operational programs such as investigation or customer due diligence also helpful.
- In-depth knowledge of AML laws, regulations, and industry best practices including, but not limited to the Bank Secrecy Act (BSA), USA PATRIOT Act, and Office of Foreign Assets (OFAC) Regulations.
- Strong knowledge of the brokerage and advisory industry.
- High level of analytical and problem-solving skills, desire to learn quickly, be flexible and think strategically with attention to detail and accuracy.
- Excellent written and oral communication skills with the ability to present information in differing degrees of details and form depending on the audience.
- Ability to identify risk issues related to financial crime, knowledge to provide guidance when warranted, and insight to appropriately escalate issue to others for further guidance.
- Developing strategic thinking to understand how the work they do impacts the overall AML program and fits into the broader mission of the firm.
$71,700-$119,500/year
Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
Company Overview:
LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.
At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.
Join LPL Financial: Where Your Potential Meets Opportunity
At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.
Why LPL?
- Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!
- Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!
- Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!
- Impactful Work: Our size is just right for you to make a real impact. Learn more here!
- Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!
- Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!
- Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!
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 (855) 575-6947.
EAC1.22.25
Salary : $71,700 - $119,500
