Senior Analyst, AML Compliance Governance, Advisory, and Training

LPL Financial•Charlotte, NC

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 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.

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.
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.

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