Job Description
What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence.
What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what's possible with LPL Financial.
Job Overview: The LPL Senior Investor Protection (SIP) team performs a critical function in ensuring that LPL complies with FINRA rules as well as regulations set forth by state and federal law relating to monitoring, identifying, investigating, and reporting diminished capacity and elder financial exploitation concerns as it relates to senior investors and vulnerable adults. SIP reports to and provides state agencies (Adult Protective Services, law enforcement, and securities regulators) with key information obtained through an investigation to not only meet the firms mandatory reporting obligations, but to also stop fraudulent activity in an effort to protect client's, advisors, and LPL. Reporting to the SIP Assistant Vice President, a SIP analyst will be responsible for reviewing and analyzing underlying data gathered during the course of an investigation to fully document all inquiries relating to general guidance and education relating to diminished capacity and in some instances, possible elder financial exploitation.
Responsibilities: - Participates in end to end investigation and reporting process which entails timely monitoring, identification, investigation to provide guidance and education to internal and external business partners (including advisors) relating to diminished capacity concerns for senior and vulnerable adult clients. When appropriate, the analyst may also report suspicious/fraudulent activity indicative of elder financial exploitation, fraud, or any other financial risk or crime.
- Prepare and provide written or oral communication regarding reports of diminished capacity and when appropriate, suspected elder financial exploitation to state agencies (Adult Protective Services, law enforcement, Securities Division, etc) to meet LPL's reporting obligations.
- Communicate results of analysis and/or research to appropriate SIP leadership including conclusions and recommendations for next steps.
- Prepare written analysis of research and findings and make independent recommendations to complete investigations.
- Communicate with internal and external business partners and others as needed to gather additional information.
- Act as a point of contact for diminished capacity related questions and support. The analyst will also provide valuable education during the course of an investigation to internal and external business partners relating to identifying red flags of diminished capacity and elder financial exploitation and escalating them to SIP
- Utilize a wide variety of research and transaction monitoring tools to gather details and enhance investigation.
- Participate in trainings that may include webinars, periodicals, and self study in order to stay abreast of laws and regulations relating to elder financial exploitation.
- Assist fellow Senior Investigators and Management with escalating potential risks
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 and/or equivalent experience preferred
- Minimum 1-2 years' experience in reviewing transactions in bank and/or brokerage accounts
Core Competencies: - Time Management
- Case Management
- Written and oral communication
#LI-PA
Pay Range: $61,988-$103,313/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.
For further information about LPL, please visit
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. Learn more about our leadership team here!
- Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!
- Unified Mission: We are one team on one mission-taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!
- Impactful Work: Our size is just right for you to make a real impact. Learn more here!
- Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!
- Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!
- 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. Learn more here!
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.
EAC1.22.25
Job Tags
Work from home,