AML Analyst

LPL Financial•Tempe, AZ

3d•$29 - $48

About The Position

The AML Analyst supports LPL Financial’s efforts to detect, investigate, and prevent financial crimes, including money laundering, terrorist financing, and fraud. The role helps ensure compliance with regulatory requirements and internal procedures by analyzing internal referrals, customer transactions, sanctions and negative-news screening alerts, and conducting enhanced due diligence on prospective and existing clients. The analyst assesses referrals and escalations involving potential money laundering or customer risk, performs initial and ongoing customer due diligence, reviews activity for suspicious patterns, and conducts preliminary investigations into flagged transactions, customer behavior, and alerts. The role also collaborates with Compliance, Legal, Operations, Fraud, and Risk teams.

Requirements

Bachelor’s degree.
1–3 years of experience in AML, compliance, or fraud investigations.
Knowledge of AML regulations and financial crime typologies.
Analytical and problem-solving abilities.
Attention to detail and an investigative mindset.
Written and verbal communication skills.
Ability to work independently and collaboratively.

Nice To Haves

Certified Anti-Money Laundering Specialist (CAMS) certification.
Certified Fraud Examiner (CFE) certification.
FINRA licenses, such as SIE or Series 7.

Responsibilities

Assess incoming internal referrals and escalations concerning potential money laundering or customer risk, determine appropriate next steps, and create cases for further investigation by the AML team.
Perform initial and ongoing due diligence on prospective and existing customers, including enhanced due diligence for high-risk clients.
Review and analyze customer activity to identify patterns that may indicate money laundering or other illicit activity.
Conduct initial investigations into flagged transactions, customer behavior, and alerts to determine legitimacy and risk.
Collaborate with business partners and internal teams, including Compliance, Legal, Operations, Fraud, and Risk.