Where Ambition Meets Innovation:

Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.

Job Overview:

The AML Analyst plays a crucial role in supporting the firm’s efforts to detect, investigate, and prevent financial crimes, including money laundering, terrorist financing, and fraud. The AML team member will assist with ensuring compliance with regulatory requirements and internal procedures by analyzing internal referrals, customer transactions, screening alerts for sanctions and negative news, and performing enhanced due diligence on prospective and existing clients.

Responsibilities:

• Triage Internal Referrals: Assess incoming internal referrals and escalations related to potential money laundering concerns or customer risk. Determine the appropriate course of action by evaluating the nature of the concern and creating cases for further investigation by the AML team.
• Customer Due Diligence (CDD): Perform initial and ongoing due diligence on prospects and existing customers, including enhanced due diligence (EDD) for high-risk clients.
• Transaction Monitoring: Review and analyze customer activity to detect patterns indicative of money laundering or other illicit activities.
• Investigations: Conduct initial investigations into flagged transactions, customer behavior, and alerts to determine legitimacy and risk.
• Collaboration: Collaborate with business partners and internal teams such as Compliance, Legal, Operations, Fraud, and Risk teams.

What are we looking for?

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:

• Bachelor’s degree
• 1–3 years of experience in AML, compliance, or fraud investigations
• Knowledge of AML regulations and financial crime typologies

Core Competencies:

• Analytical and problem-solving abilities.
• Attention to detail and investigative mindset.
• Written and verbal communication.
• Ability to work independently and collaboratively.

Preferences:

• Certified Anti-Money Laundering Specialist (CAMS) Certification
• Certified Fraud Examiner (CFE) Certification
• FINRA Licenses (SIE or Series 7)

#LPL-PA

Pay Range:

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(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 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. For further information about LPL, please visit www.lpl.com.

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.

For further information about LPL, please visit www.lpl.com.

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

Information on Interviews:

LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum.  During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card.  Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.

EAC 5.19.26