Hiring: AVP, Senior Investor Protection Company: LPL Financial Location: Arlington, VA Job Posted Time: 2026-09-16 12:37:14 Target Skills & Keywords : Quality Assurance, Series 7, Wealth Management About the job Experience: •5+ years of experience in financial crime in such activities as conducting suspicious activity alert reviews for elder exploitation, money laundering or fraud, customer screening reviews, or testing controls related to elder exploitation, money laundering or fraud Required Skills: •Manages the Senior Investor Protections Investigations team by providing training (internal and external), support, and guidance to personnel •Sets standards and maintains all procedures pursuant to SIP Investigations •Provides notification to and works with Adult Protective Services (APS), state securities regulators, and law enforcement, as needed, to advance investigations and assist clients •Educating clients, families, and firm personnel on strategies to reduce risk to clients •Serving as a subject matter expert with respect to certain topics and leading related processes and projects •Maintains all support functions to include assignments, routine data validation, error corrections, metrics reporting, quality assurance and staffing assessments •Proactively issue spots and communicate pain points to senior leadership •Conducts management oversight of completed reviews; providing feedback, as warranted/appropriate Qualifications: •Bachelor's degree •3-5(+) years of conducting Senior Exploitation or Fraud cases, documenting and report writing, interviewing subjects and filing Suspicious Activity Reports when needed •Previous experience as a people leader or functional lead providing mentorship, guidance, coaching and training to existing team members •Strong knowledge of AML regulations: Understanding of relevant laws, regulations, and industry best practices related to AML compliance, such as the Bank Secrecy Act (BSA), USA PATRIOT Act, Financial Action Task Force (FATF) recommendations, and Office of Foreign Assets (OFAC) Regulations •Expert knowledge of FINRA Rule 2165, FINRA Rule 4512 and related state securities legislation •Demonstrated capacity to foster and develop relationships across the department and develop as a trusted advisor in their specific area of expertise •Leans into ambiguity and drives solutions for difficult problems with confidence •Innovates through strategic decision-making that provides created solutions for complex problems •Looks for opportunities to continually improve processes for efficiency without sacrificing quality •Fosters learning opportunities for team members in daily work; actively learns from mistakes with accountability Compensation: •$101,249 - $168,817 / year •Flexible work environment (work from home / hybrid options) Interested candidates, please apply directly through the job posting on company's career page or try via AI auto apply on this platform. Don't miss this opportunity to join a forward-thinking team!