Richard Sweeney
- Role
- Compliance Officer at LPL Financial
- Location
- Mineola, NY, US
- LinkedIn followers
- 500 followers
About Richard Sweeney
Compliance/Operational Risk Consultant with over twenty years of financial services…
Experience
Compliance Officer
Feb 2020 — Present
Held positions including Chief Compliance Officer (CCO), Anti-Money Laundering Compliance Officer (AMLCO), and Series 24 Principal Supervisor • Ensured compliance with US anti-money laundering and expanded customer identification legislation including Bank Secrecy Act and US Patriot Act • Identified red flags and remedied areas of noncompliance • Chaperoned non-US broker-dealers under SEA 15a-6 chaperoning agreement • Possess broad understanding of financial products, transactions, procedures, and systems, including fixed income, equity, derivatives, private placements, DVP/RVP, security transfers, and ACATS Internal Audits • Keep current with best practices in compliance through continuing education and conferences
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