Regional Banking and Lending Consultant role at LPL Financial focusing on banking adoption and solutions for Advisors. Collaborating closely with internal teams and clients to enhance financial capabilities.
About the role
- MLRO for SSBI Germany driving financial crimes compliance policies and procedures. Collaborating on regulatory assessments and quality assurance in the hybrid work environment from Munich or Frankfurt.
Responsibilities
- Oversee the implementation and maintenance of effective global and local policies, procedures, systems and controls in accordance with the global and local laws
- Provide advice and challenge to the first line of defense in their creation, maintenance and development of effective systems, controls, policies, procedures and training
- Ensure the design and execution of the SSBI FCC risk assessment is in line with local regulatory requirements
- Perform quality assurance reviews for the overall SSBI FCC framework and steer holistic remediation activities
- Manage and support internal and external audits and inspections as well as major regulatory implementation projects
- Be a trusted advisor and technical expert on financial crime risks
Requirements
- 10+ years of relevant industry experience in banking or financial services
- University degree or equivalent, preferably with a legal background, or significant prior experience as an MLRO or Financial Crimes Compliance expert
- Expertise in core financial crimes compliance risks (AML, KYC, Sanctions)
- FCC certifications or trainings would be a benefit
- Proficiency in both German and English.
Benefits
- Flexible work-life support
- Paid volunteer days
- Vibrant employee networks
- Inclusive development opportunities
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
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