More jobs:
AVP, Senior Investor Protection & Investigations
Job in
Tempe, Maricopa County, Arizona, 85285, USA
Listed on 2026-08-30
Listing for:
LPL Financial LLC
Full Time
position Listed on 2026-08-30
Job specializations:
-
Finance & Banking
Financial Crime, Regulatory Compliance Specialist -
Management
Regulatory Compliance Specialist
Job Description & How to Apply Below
LPL Financial LLC is seeking an AVP of Senior Investor Protection to lead a team of investigators handling elder exploitation and related financial crime investigations. The role requires strong interviewing, regulatory reporting, and risk-mitigation guidance for clients and staff.
The position involves educating employees, advisors, and clients while coordinating with APS and regulators, and contributing to process improvements within the Fraud Risk and AML Compliance organization.
#J-18808-LjbffrPosition Requirements
10+ Years
work experience
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