Manager, AML Ongoing Due Diligence Investigations

Manager, AML Ongoing Due Diligence Investigations

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.

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

What are we looking for?

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 :

Core Competencies :

Preferences :

Pay Range : $79,688-$132,813 / 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!

Company Overview :

LPL Financial Holdings Inc. (Nasdaq : LPLA) 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.

Join LPL Financial : Where Your Potential Meets Opportunity

At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.