Brokerage AML/GFC Investigator – Compliance & Investigations

Bank of America; Phoenix (AZ); On-site; USD 90,000 - 140,000; Full time

Job summary

Bank of America seeks a Global Financial Crimes Compliance Investigator to perform end-to-end investigations across major business lines, including Special Investigations, Global Markets, and Global Wealth and Investment Management.

The role requires delivering timely SARs, high-quality case closure, and proactive collaboration with GFCC Risk Management and frontline units to mitigate operational and compliance risks.

Qualifications

• Minimum five years of relevant experience.
• Understanding of Retail Brokerage Products and services.
• FINRA Securities Essentials; Series 7/6 or related experience.
• Suspicious Activity Reporting (SAR) experience.
• Stakeholder management with FLU, Business Controls, Risk.
• Understanding of FINRA/SEC rules and regulations.

Responsibilities

• Completes investigations meeting closure and quality metrics.
• Completes SARs in a timely and accurate manner for regulators.
• Reports investigation facts to senior stakeholders and partners with GFCC Management.
• Performs quality control, training, guidance, and liaison with law enforcement.

Skills

Fraud Management

Policies Procedures and 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 Licenses (Series 7/6/4/24/53/9/10)

Tools

AML Regulatory Knowledge

Case Investigation & Resolution

Customer Due Diligence

Enhanced Due Diligence

Financial Crimes Risk Programs

High Risk Activities & Typologies

Risk Governance & Reporting

Job description

Bank of America seeks a Global Financial Crimes Compliance Investigator to perform end-to-end investigations across major business lines, including Special Investigations, Global Markets, and Global Wealth and Investment Management.

The role requires delivering timely SARs, high-quality case closure, and proactive collaboration with GFCC Risk Management and frontline units to mitigate operational and compliance risks.