AVP, FRAML Senior Investor Protection

Location: Tempe, United States

Salary: $101,249–$168,817 per year

Company

hirify.global is a U.S. wealth management firm supporting financial advisors, institutions, and their clients with investment, advisory, custody, and fintech services.

What you will do

• Lead the Senior Investor Protection Investigations team through training, coaching, support, and operational guidance.
• Oversee complex investigations involving diminished capacity, elder financial exploitation, and other suspicious activity.
• Maintain investigation standards, procedures, assignments, data validation, quality assurance, metrics, and staffing assessments.
• Coordinate notifications and investigations with Adult Protective Services, state securities regulators, and law enforcement.
• Educate clients, families, advisors, and firm personnel on strategies to reduce client risk.
• Act as a subject matter expert, identify operational issues, improve processes, and report key risks to senior leadership.

Requirements

• Bachelor’s degree.
• 5+ years of financial crime experience involving elder exploitation, money laundering, fraud, customer screening, or related control testing.
• 3–5+ years of handling senior exploitation or fraud cases, writing reports, interviewing subjects, and filing Suspicious Activity Reports when required.
• Experience as a people leader or functional lead providing mentorship, coaching, guidance, and training.
• Strong knowledge of AML regulations, including the Bank Secrecy Act, USA PATRIOT Act, FATF recommendations, and OFAC regulations.
• Expert knowledge of FINRA Rules 2165 and 4512 and related state securities legislation.

Nice to have

• CAMLS certification.
• Certified Fraud Examiner certification.
• FINRA Series 7 or 24 license.

Culture & Benefits

• Fast-paced, client-focused, team-oriented environment.
• Opportunities to drive creativity, continuous improvement, and learning across the team.
• 401(k) matching, health benefits, employee stock options, paid time off, and volunteer time off.
• Collaboration with financial professionals, advisors, regulators, law enforcement, and client representatives.

Hiring process

• Interview communication is conducted directly through an @lplfinancial.com email address.
• LPL does not conduct interviews in online chatroom forums or request payment or banking information from applicants.