Sr Investigator, Ongoing Due Diligence Investigations

Sr Investigator, Ongoing Due Diligence Investigations

The Sr Investigator will conduct ongoing due diligence reviews of high-risk customers to determine if there have been any changes to the client risk profile and escalate profile risk changes for further investigation when warranted.

Responsibilities :

• Conducts ongoing (or periodic) due diligence reviews of customers as required by the customer profile and in line with the firm's periodic refresh requirements.
• Leverages customer transaction activity in conjunction with the customer's background through open-source investigation to ensure the customer's activity is in line with the understood nature and purpose of the customer relationship.
• Responds to trigger-based events to advance the review of customer risk profile changes outside of the standard periodic refresh requirements.
• If a risk profile change is identified beyond what is maintainable, they will escalate to the investigations team for potential SAR filing and / or work directly with the AML Client Review Working Group to exit the relationship as warranted.
• Participates in supporting management by responding to legal, regulatory, or internal audit inquiries as warranted.
• Assists management in providing training and guidance to more junior team members

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.

Core Competencies :

Requirements :

Preferences :

Pay Range :

$68,775-$114,625 / 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) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.

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.

Why LPL?

Innovative Environment : We foster creativity and growth, providing a supportive and responsive leadership team.

Limitless Career Potential : Your career at LPL has no limits, only amazing potential.

Unified Mission : We are one team on one missiontaking care of our advisors so they can take care of their clients.

Impactful Work : Our size is just right for you to make a real impact.

Commitment to Equality : We support workplace equality and embrace diverse perspectives and backgrounds.

Community Focus : We care for our communities and encourage our employees to do the same.

Benefits and Total Rewards : Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home.

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.