Brandon A. Gilchrist

Assistant Vice President, Surveillance & Investigations, LPL Financial LLC

Brandon A. Gilchrist
Assistant Vice President
Financial Intelligence Unit (FIU) Compliance, Legal & Risk
LPL Financial

Professional Background
Responsible for overseeing the firm’s Anti Money Laundering (AML) Investigations team to ensure the identification of potentially suspicious activity in accordance with federal & industry regulations including the submissions of Suspicious Activity Reports (SARs). Currently oversees staff and processes involved in Anti-Money Laundering including transaction monitoring, negative news screening, fraud, and insider trading. Previously supervised the firm’s Know Your Customer (KYC), Customer Identification Program (CIP), and Enhanced Due Diligence (EDD) teams.

 

Education
– Bachelor of Science in Business Administration with a focus in Management and Human Resources
– Master of Business Administration with a focus in Organizational Leadership
– Series 7 – General Securities License
– Series 24 – General Securities Principal License
– Certified Anti-Money Laundering Specialist (CAMS)
– Certified Fraud Examiner (CFE)