AML Investigator - Financial Crimes (Brokerage)

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

Benefits offered by this job

Discretionary incentive plan

Benefits eligible

Paid time off

Job summary

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

The role requires extensive experience in AML, regulatory knowledge, and strong analytical skills, with a focus on high-risk activities and risk governance.

Qualifications

• Minimum of five years of relevant experience.
• Understanding of Retail Brokerage Products, Clients, and Services, such as Equities, Fixed Income Products, Structured Investments, Securitized Products, Mutual Funds, and entity structures.
• FINRA Securities Essentials and Series 7/6 or equivalent back-office experience.
• Suspicious Activity Reporting (SAR) expertise.
• Stakeholder Management (FLU, Business Controls, Risk).
• Understanding of Rules, Regulations, and Compliance (FINRA/SEC).

Responsibilities

• Completes investigations while overseeing cases meet or exceed closure and quality metrics
• Completes Suspicious Activity Reports (SAR) in a timely and accurate manner for submission to regulators and/or law enforcement
• Reports facts of the investigation to senior stakeholders, assisting in identifying potential operational or compliance risks and partners with Global Financial Crimes (GFC) Management and/or Front Line Units (FLU) to resolve investigations
• Performs quality control functions, training, communications, guidance, monitoring scenario development/enhancement input and testing, or law enforcement liaison responsibilities in an investigative support role

Skills

Fraud Management

Policies & Guidelines

Reporting

Risk Management

Coaching

Issue Management

Talent Development

Critical Thinking

Written Communications

Data Analysis

Regulatory Compliance

Investigation Management

Education

Bachelor's Degree

CAMS

FINRA Series License

Tools

AML Regulatory Knowledge

Case Investigation

Customer Due Diligence

Enhanced Due Diligence

Financial Crimes Risk Programs

High Risk Activities & Typologies

Global Financial Crimes Acumen

Risk Identification & Assessment

Risk Governance & Reporting

Job description

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

The role requires extensive experience in AML, regulatory knowledge, and strong analytical skills, with a focus on high-risk activities and risk governance.