AML Investigator, Global Financial Crimes (Brokerage)

Bank of America; Pennington (AL); 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 perform end-to-end investigations, including fraud, money laundering, and terrorist financing across multiple lines of business. You will prepare SARs, report findings to stakeholders, and support risk management initiatives.

The role requires senior-level experience in investigations, strong knowledge of financial crime regulations, and collaboration with front-line units to resolve issues.

Qualifications

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

Responsibilities

• Completes investigations while overseeing cases meet 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

Policy & Guidelines

Reporting

Risk Management

Coaching

Issue Management

Talent Development

Critical Thinking

Written Communications

Data Analysis

Regulatory Compliance

Investigation Management

Education

Bachelor’s Degree in related field

Certified Anti-Money Laundering Specialist (CAMS)

FINRA Services Principal Licensure (Series 4, 24, 53,9/10)

Knowledge of Alternative Investments

Familiarity with Discretionary Trading Products

Job description

Bank of America is seeking a Global Financial Crimes Compliance Investigator to perform end-to-end investigations, including fraud, money laundering, and terrorist financing across multiple lines of business. You will prepare SARs, report findings to stakeholders, and support risk management initiatives.

The role requires senior-level experience in investigations, strong knowledge of financial crime regulations, and collaboration with front-line units to resolve issues.