AML Investigator – Brokerage & Global Markets

Bank of America; Pennington (NJ); On-site; USD 69,000 - 102,000; Full time

Benefits offered by this job

Discretionary incentive eligible

Industry-leading benefits

Job summary

Bank of America is seeking a Global Financial Crimes Compliance Investigator to conduct end-to-end investigations across lines of business, focusing on Special Investigations, Global Markets, or Global Wealth and Investment Management. You will file SARs, report facts to senior stakeholders, and partner with GFC Management and FLU to resolve investigations.

The role requires at least five years of relevant experience, familiarity with FINRA/SEC rules, and a strong focus on regulatory compliance,

Qualifications

• Minimum of five years of relevant experience.
• Understanding of Retail Brokerage Products and services.
• FINRA Securities Exam or equivalent experience (Series 7/6) or back-office expertise.
• Suspicious Activity Reporting (SAR) experience.
• Stakeholder Management (FLU, Risk, Controls).
• Understanding of FINRA/SEC rules and regulations.

Responsibilities

• Completes investigations while ensuring closure and quality metrics.
• Files Suspicious Activity Reports (SAR) timely for regulators.
• Reports facts to senior stakeholders and partners with GFC/FLU to resolve cases.
• Performs quality control, training, and guidance in an investigative support role.

Skills

Fraud Management

Regulatory Compliance

Investigation Management

Data Analysis

Risk Management

Written Communications

Critical Thinking

Reporting

Coaching

Talent Development

Education

Bachelor's Degree

Tools

FINRA Series 7

FINRA Series 6

SAR processes

Job description

Bank of America is seeking a Global Financial Crimes Compliance Investigator to conduct end-to-end investigations across lines of business, focusing on Special Investigations, Global Markets, or Global Wealth and Investment Management. You will file SARs, report facts to senior stakeholders, and partner with GFC Management and FLU to resolve investigations.

The role requires at least five years of relevant experience, familiarity with FINRA/SEC rules, and a strong focus on regulatory compliance,