LPL Financial · 2 months ago
SIP Lead Investigator, Risk & Compliance
Fort Mill/Charlotte
Full-time
Onsite
Mid, Senior Level
$78K/yr - $130K/yr
4+ years expLPL Financial is a leading wealth management firm in the U.S., empowering professionals to help clients pursue their financial goals. The SIP Lead Investigator will oversee complex investigations related to elder financial exploitation, ensuring compliance with regulations and providing critical support to the SIP team.
FinanceFinancial Services
Responsibilities
Assess severity and complexity of new referrals, prioritize, and assign all new referrals to the SIP team ensuring timely response and effective distribution of resources
Manage risk based decisions and processes (i.e. state reporting and disbursement hold approvals)
Lead high risk, high visibility or executive level investigations, focusing on most complex, high-risk, or high-impact matters
Assist SIP management with any ad hoc projects or initiatives including but not limited to preparation of presentation materials, training new hires, policy and procedure reviews, and resource updates
Assist SIP management with ad hoc projects as needed, demonstrating a deeper scope of risk and compliance
Contribute to the development, refinement, and interpretation of SIP risk frameworks and decision guidelines
Act as a subject-matter expert for risk-based decisioning within SIP
Conduct timely comprehensive investigation which entails monitoring, identifying, investigating, and when appropriate, reporting of suspicious/fraudulent activity indicative of elder financial exploitation, fraud, or any other financial risk or crime
Effective time management to address high volume of cases while prioritizing matters appropriately based on time sensitivity. Timeframes typically consist of a 2-5 business day SLA that an investigator would have to make a hold and report decision
Prepare detailed written analysis of research and findings in case management system. This would include documenting all research, recommendations, reports, holds, coordination with internal business partners and agencies, evidence obtained, and guidance and education provided during the course of an investigation
Analyze customer transaction activity to ascertain legitimacy of the account activity and transactions to ensure that activity is appropriate for the nature of the account. This would include interpreting legal documents on file
Utilize a wide variety of research and transaction monitoring tools to identify suspicious activity and support investigation conclusions as it relates to reviewing matters of elder financial exploitation
Provide clear and effective communication with financial advisors, relationship managers, branch associates and others as needed to gather pertinent information related to investigation and to partner with parties during the duration of an investigation
Develop and maintain relationships with internal business partners such as Supervision, Legal, AML, and Investigations to coordinate reviews and enhance advisor experience
Act as a liaison during investigations to local, state, and federal agencies on reports and investigations relating to elder financial exploitation
Prepare narrative summaries for each case that efficiently articulates the intake, investigation, and closure steps taken during a case
Participate in trainings that may include webinars, periodicals, and self-study in order to stay abreast of laws, regulations, and current trends relating to elder financial exploitation
Qualification
Required
Bachelor's Degree and/or equivalent experience preferred
Minimum 2-3 years experience in reviewing transactions in bank and/or brokerage accounts
Minimum 4 to 5 years Senior Investor or AML Investigations experience or other related job with investigative experience
Regulatory Compliance, working knowledge of FINRA Rule 4512, FINRA Rule 2165, and state laws relating to identifying and reporting elder financial exploitation
Preferred
Professional licenses/certifications (i.e., FINRA Series 7, CAMS, CFE) preferred
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
Interim CEO
Sid Vyas
Chief Technology Officer/EVP
Recent News
2026-01-23
2026-01-23
Company data provided by crunchbase