Senior Analyst, AML Compliance Governance, Advisory, and Training

AML Compliance Senior Analyst

At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. Discover what's possible with LPL Financial.

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.

Responsibilities include :

• 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

We're looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

Requirements include :

Core competencies include :

Pay range : $71,700-$119,500 / year. Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!

LPL Financial Holdings Inc. is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace. LPL supports over 29,000 financial advisors and the wealth-management practices of 1,100 financial institution, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.