SIP Lead Investigator, Risk & Compliance
LPL Financial(26 days ago)
About this role
A Senior Investor Protection (SIP) Senior Analyst at LPL Financial is a senior compliance professional within the SIP team focused on ensuring adherence to FINRA rules and state/federal regulations that protect senior and vulnerable investors. The role supports governance of risk decisions, coordination with regulatory and state agencies, and contributes to policy and training initiatives.
Required Skills
- Investigations
- Risk Assessment
- Case Management
- AML
- Transaction Monitoring
- Regulatory Compliance
- Communication
- Time Management
- Reporting
Qualifications
- Bachelor's Degree
- FINRA Series 7
- CAMS
- CFE
About LPL Financial
lpl.comA leading wealth management firm for independent advisors across the U.S., LPL’s technology and resources can help you and your clients succeed. Learn more.
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