Manager, AML Ongoing Due Diligence Investigations

LPL Financial Services•Tempe, AZ

39d

About The Position

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. The ideal candidate will have a client-first customer service oriented mind-set from a financial background, with strong attention to detail, problem-solving skills, and excellent verbal and written abilities. Candidate will be able to contribute positively to a team-focused environment, driving both growth and innovation.

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
Expert knowledge of 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
Strong analytic and problem-solving skills, attention to details, highly organized, and excellent communication skills (both written and oral)
Strong strategic thinking to understand how the work they do impacts the overall AML program and fits into the broader mission of the firm

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