Senior Analyst, AML Compliance Governance, Advisory, and Training

What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial.

Job 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

What are we looking for?

We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

Requirements:

• 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.

Core Competencies:

• 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.

#LI-PA

 

Pay Range:

$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) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace. LPL supports over 29,000 financial advisors and the wealth-management practices of 1,100 financial institution, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.

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