Chase Horton Email & Phone Number | Experience in Anti Money Laundering field, specifically AML Investigations, Transaction Monitoring, Enhanced Due Diligence, and Customer Identification Program. As Lead Sr AML Investigator, I investigate complex cases for potential SAR filings and client terminations, review investigator’s cases, coordinate team meetings, and develop and provide initial and ongoing training. Managed a six person team on a CIP remediation project, and developed and implemented new robust CIP processes and procedures. Additional experience in Market Surveillance of broker-dealer transactions involving violations of Blue Sky Laws and FINRA regulations.

Chase Horton

Experience in Anti Money Laundering field, specifically AML Investigations, Transaction Monitoring,...
Charlotte, North Carolina, United States

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Chase Horton’s Email chase.horton@lpl.com

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Chase Horton’s Location Charlotte, North Carolina, United States

Chase Horton’s Current Industry Lpl Financial

Chase Horton’s Prior Industry Ey | Availity | Cherokee Town And Country Club

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Lead Sr AML Investigator

2022-06-01T00:00:00.000Z - Present

Associate Analyst

2017-05-01T00:00:00.000Z - 2018-06-01T00:00:00.000Z

Client Services Representative

2016-08-01T00:00:00.000Z - 2017-05-01T00:00:00.000Z

Equipment Operator

2014-05-01T00:00:00.000Z - 2014-08-01T00:00:00.000Z

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Chase Horton is a Experience in Anti Money Laundering field, specifically AML Investigations, Transaction Monitoring, Enhanced Due Diligence, and Customer Identification Program. As Lead Sr AML Investigator, I investigate complex cases for potential SAR filings and client terminations, review investigator’s cases, coordinate team meetings, and develop and provide initial and ongoing training. Managed a six person team on a CIP remediation project, and developed and implemented new robust CIP processes and procedures. Additional experience in Market Surveillance of broker-dealer transactions involving violations of Blue Sky Laws and FINRA regulations.