LPL Financial · 3 days ago
Senior Analyst, AML Compliance Governance, Advisory, and Training
Fort Mill, SC
Full-time
Onsite
Mid, Senior Level
$72K/yr - $120K/yr
3+ years expLPL Financial is among the fastest growing wealth management firms in the U.S., empowering professionals to shape their success while helping clients pursue financial goals. The AML Compliance Senior Analyst will support the governance program, risk oversight tasks, develop training, and update policies and procedures.
FinanceFinancial Services
Responsibilities
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
Qualification
Required
Bachelor's degree
3+ years of experience in financial crime ideally involving governance, regulatory review and interpretation, risk assessments, and other types of AML governance and advisory activities. Cross functional experience in AML operational programs such as investigation or customer due diligence also helpful
In-depth knowledge of AML laws, regulations, and industry best practices including, but not limited to the Bank Secrecy Act (BSA), USA PATRIOT Act, and Office of Foreign Assets (OFAC) Regulations
Strong knowledge of the brokerage and advisory industry
High level of analytical and problem-solving skills, desire to learn quickly, be flexible and think strategically with attention to detail and accuracy
Excellent written and oral communication skills with the ability to present information in differing degrees of details and form depending on the audience
Ability to identify risk issues related to financial crime, knowledge to provide guidance when warranted, and insight to appropriately escalate issue to others for further guidance
Developing strategic thinking to understand how the work they do impacts the overall AML program and fits into the broader mission of the firm
Benefits
401K matching
Health benefits
Employee stock options
Paid time off
Volunteer time off
Company
LPL Financial
LPL Financial provides investment solutions and tools for independent financial advisors.
5001-10000 employees
H1B Sponsorship
LPL Financial has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (106)
2024 (105)
2023 (122)
2022 (127)
2021 (65)
2020 (44)
Funding
Current Stage
Public CompanyTotal Funding
$2.5B2025-03-31Post Ipo Equity· $1.5B
2024-06-03Post Ipo Debt· $1B
2010-11-18IPO
Leadership Team
Rich Steinmeier
Chief Executive Officer
Sid Vyas
Chief Technology Officer/EVP
Recent News
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2025-12-16
2025-12-12
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