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Analyst
LPL Financial
Fort Mill, SC, United States
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POSITION DESCRIPTION
Analyst – AML Investigations (Financial Crimes Investigations), reporting to the AML Investigations Manager, will be responsible for reviewing and analyzing underlying data gathered to assess reasonable cause to escalate an inquiry to an investigation; dispositioning and fully documenting all inquiries, including supporting data, analysis and rationale for closing or escalating, within in a timely manner; preparing case files; and participation in individual and department goal development and execution on tactical strategies for goal attainment.
ESSENTIAL FUNCTIONS:
• •Program Execution
• •Assist in the creation and management of case files for investigations.
• •Research and verify the accuracy of information obtained through referrals and in the context of investigations.
• •Track work internally for individual and team operational performance.
• •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.
EDUCATION/ CERTIFICATIONS/ EXPERIENCE
• •Bachelor’s Degree and/or equivalent experience preferred
• •Professional licenses/certifications (i.e., FINRA Series 7, CAMS, CFE) preferred
• •Minimum 1-2 years’ experience in reviewing transactions in bank and/or brokerage accounts preferred
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
Our Company:
LPL Financial, the nation’s largest independent broker/dealer since 1996* and the fourth largest broker/dealer overall, serves as an enabling partner to more than 14,000 independent financial advisors and approximately 700 financial institutions. Since its formation decades ago, LPL has focused on one primary mission -- enabling independent financial advisors to bring objective and un-biased financial advice to millions of Americans.
Headquartered in Boston, San Diego, and Fort Mill, and powered by more than 3,300 client-centric employees, LPL is financially strong and growing.
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 login or create an account to apply to this position. Principals only. EOE
*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.