Brokerage AML Investigator - Financial Crimes Expert

NBMBAA; Charlotte (NC); On-site; USD 69,000 - 102,000; Full time

Job summary

Bank of America is seeking a Global Financial Crimes Compliance Investigator to conduct end-to-end investigations across various lines of business. The role focuses on complex cases including fraud, money laundering, and terrorist financing, with SARs prepared for regulators and law enforcement.

The position requires five years of relevant experience, knowledge of FINRA/SEC rules, and collaboration with risk teams to resolve investigations.

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 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 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, Procedures & 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)

Tools

Case Investigation & Resolution

Customer Due Diligence

Enhanced Due Diligence

Financial Crimes Risk Programs

High Risk Activities & Typologies

Global Financial Crimes Knowledge

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 various lines of business. The role focuses on complex cases including fraud, money laundering, and terrorist financing, with SARs prepared for regulators and law enforcement.

The position requires five years of relevant experience, knowledge of FINRA/SEC rules, and collaboration with risk teams to resolve investigations.