Manager, AML Ongoing Due Diligence Investigations

LPL Financial•Tempe, AZ

18h

About The Position

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 Manager, AML Ongoing Due Diligence Investigations leads a team of Due Diligence Investigators responsible for conducting reviews of high-risk customers to identify any changes in their risk profile and escalate material changes for further investigation.

Requirements

Bachelor's degree
5+ years of experience in financial crime in such activities as conducting suspicious activity alert reviews for money laundering or fraud, customer screening reviews, or testing controls related to money laundering or fraud
Previous experience as a people manager or functional team lead; providing mentorship, guidance, coaching and training to existing team members
Experience with relevant laws, regulations, and industry best practices related to AML compliance, such as the Bank Secrecy Act (BSA), USA PATRIOT Act, and Financial Action Task Force (FATF) recommendations
Analytical and problem-solving skills, attention to detail, highly organized, and excellent communication skills (both written and oral)
Ability to identify risk issues related to financial crime, knowledge to provide guidance when warranted, and insight to appropriately escalate issues to others for further guidance
Ability to foster and develop relationships across the department and develop as a trusted advisor in their specific area of expertise and strong knowledge of LPL's business model and operational processes
Looks for opportunities to continually improve processes for efficiency without sacrificing quality
Fosters learning opportunities for team members in daily work; actively learns from mistakes with accountability

Nice To Haves

Certified Anti-Money Laundering Specialist (CAMs) Certification
Certified Fraud Examiner (CFE) Certification
FINRA License Series 7 or 24

Responsibilities

Manages a team of investigators by providing training (internal and external), support, and guidance to personnel (Engagement, Performance Coaching, Career Development, Process Changes/Updates, etc.)
Sets standards and maintains all procedures pursuant to On-Going Due Diligence
Maintains all support functions to include assignments, routine data validation, error corrections, metrics reporting, quality assurance and staffing assessments as well as setting clear production expectations and holding staff accountable to those goals
Conducts management review of completed work providing feedback to team members, as warranted/appropriate
Proactively identifies issues and works to develop solutions in conjunction with senior leadership that focus on both operational efficiency and risk mitigation
Responsible for maintaining team metrics as well as KRIs and KPIs and providing information to senior leadership as warranted and required