Sr Analyst, AML Assurance

LPL Financial•Charlotte, NC

14h

About The Position

The AML Assurance Senior Analyst reports to the AML Assurance Manager and will be responsible for assisting in providing AML program management oversight for LPL Financial and its affiliate, PTC, a trust company. The Senior Analyst is primarily responsible for conducting quality assurance reviews across the Anti-Money Laundering, Fraud, and Office of Foreign Assets Control (OFAC) programs to drive consistency and validation of those associated processes, controls, and procedures for various operational teams. These reviews help drive firm-wide compliance with the BSA, USA PATRIOT Act, OFAC and other guidance as published by the SEC, FINRA, and FinCEN. Additional responsibilities may include special project work, metrics reporting, and supporting other FRAML or Compliance initiatives.

Requirements

Bachelor’s Degree and/or post graduate experience
Minimum 3-5 years of Financial Crimes and/or Anti-Money Laundering experience
High level of analytical and problem-solving skills
Strong PC skills (Microsoft Office with emphasis on Excel and PowerPoint)
Excellent written and verbal communication skills
Strong judgment and excellent written skills with the ability to present information in differing degrees of detail and form depending on the audience
Good critical thinking and decision-making skills
Attention to detail and quality assurance
Proven ability to build strong partnerships with colleagues internally and externally, desire to learn quickly, be flexible and think strategically
Ability to multi-task, work well under pressure with commitment to deliver under tight deadlines

Nice To Haves

Working knowledge of Anti-Money Laundering rules and regulations within the brokerage industry preferred
Prior quality control or quality assurance working experience preferred

Responsibilities

Day-to-day management and execution of assigned quality assurance reviews.
Recognize and recommend enhancement opportunities within the various Assurance reviews through trends and patterns for AML, Fraud, and OFAC functions including: Customer Identification Program (CIP), Customer Due Diligence, Transaction Monitoring, Ongoing Due Diligence, Investigations, and the Private Trust Company (PTC).
Assisting AML Assurance Management with the development and execution of the delivery of the Assurance review summary report to the Chief AML Officer.
Collaborate with departments outside of FRAML to pull Assurance data to develop methodology and metrics for reporting.
As needed, assisting with Assurance team training, leading presentations to the Assurance team or partners for which quality assurance review occur, and representing the Assurance team in various meetings.