Sr Analyst, AML Assurance

Where Ambition Meets Innovation

Build a career that matches your initiative with an impressive dose of innovation. At LPL Financial, you will find the ingredients you need to shape your success while helping clients pursue their financial goals. From cutting-edge resources and a collaborative environment to the freedom to make an impact, we provide the setting for you to thrive.

About the Team

LPL Financial Holdings Inc. is among the fastest-growing wealth management firms in the U.S. As the nation's leading independent broker-dealer, we support over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions. We service and custody approximately $2.3 trillion in brokerage and advisory assets on behalf of 8 million Americans. Our mission is unified: we take care of our advisors and institutions so they can take care of their clients. Independence is at our core, giving advisors the freedom to choose the business models, services, and technology resources that allow them to run thriving businesses.

About the Role

The AML Assurance Senior Analyst is a pivotal role within the Financial Crimes and AML (FRAML) team, reporting to the AML Assurance Manager. This position is designed to drive firm-wide compliance and validation of processes, controls, and procedures across the Anti-Money Laundering, Fraud, and Office of Foreign Assets Control (OFAC) programs for LPL Financial and its affiliate, PTC.

In this role, you will partner with operational teams to conduct quality assurance reviews that ensure consistency and adherence to BSA, USA PATRIOT Act, OFAC, and guidance from the SEC, FINRA, and FinCEN. You will not only manage day-to-day reviews but also identify trends and patterns to recommend enhancements in areas such as Customer Identification Programs (CIP), Due Diligence, Transaction Monitoring, and Investigations. Your work will directly support the development of assurance summary reports for the Chief AML Officer and involve collaborating with departments outside of FRAML to refine reporting methodologies and metrics.

We are looking for strong collaborators who thrive in fast-paced, team-oriented environments. The ideal candidate pursues greatness, acts with integrity, and is driven to help our clients succeed. You will contribute to a culture where we win together and create and share joy in our work, embracing creativity and continuous improvement.

Hiring Process & Application

LPL Financial is committed to a secure and transparent hiring process. We will only communicate with job applicants directly from an @lplfinancial.com email address. Please note that LPL will never conduct an interview online or in a chatroom forum, nor will we request any form of payment or sensitive banking information during the interview process.

To apply, please log in or create an account on our careers portal. If you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at (855) 575-6947.

Our Commitment to Diversity

We support workplace equality and embrace diverse perspectives and backgrounds. At LPL, we believe that everyone deserves objective financial guidance, and our team reflects the diverse communities we serve. We are an Equal Opportunity Employer.