GFC Investigator (Brokerage - AML)

Bank of America; Fort Worth (TX); On-site; USD 70,000 - 110,000; Full time

Job summary

Bank of America is seeking an experienced investigator to manage complex cases within the Global Financial Crimes program. The role focuses on timely SAR filings, regulatory liaison, and risk identification across retail brokerage products.

You will collaborate with FLU, GFC, and senior stakeholders to ensure robust investigative outcomes. Ideal candidates hold 5+ years in financial crimes, FINRA licenses or equivalent, and a strong grasp of AML regulations, due diligence, 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 Essential Exam/ FINRA Series 7, Series 6 or relevant experience in the areas of 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

Reporting

Risk Management

Coaching

Issue Management

Talent Development

Critical Thinking

Written Communications

Data Analysis

Regulatory Compliance

Investigation Management

Education

Bachelor's Degree

Tools

AML Regulatory Knowledge

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

Job Description:

At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. We do this by driving Responsible Growth and delivering for our clients, teammates, communities and shareholders every day.

Being a Great Place to Work is core to how we drive Responsible Growth. This includes our commitment to being an inclusive workplace, attracting and developing exceptional talent, supporting our teammates' physical, emotional, and financial wellness, recognizing and rewarding performance, and how we make an impact in the communities we serve.

Bank of America is committed to an in-office culture with specific requirements for office-based attendance and which allows for an appropriate level of flexibility for our teammates and businesses based on role-specific considerations.

At Bank of America, you can build a successful career with opportunities to learn, grow, and make an impact. Join us!

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

Required 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, such as Personal Holding Companies, Retirement and Trust Accounts
• FINRA Securities Essential Exam/ FINRA Series 7, Series 6 or relevant experience in the areas of back office operations, Margin, ACAT Transfer
• Suspicious Activity Reporting (SAR)
• Stakeholder Management (FLU, Business Controls, Risk)
• Understanding of Rules, Regulations, and Compliance (FINRA/SEC)

Desired Qualifications:

• Bachelor's Degree in related field
• Experience in financial services and/or a related government entity
• Certified Anti-Money Laundering Specialist (CAMS)
• Data Management, Review, and Analysis
• FINRA Services Principal Licensure (Series 4, 24, 53,9/10)
• Certified Anti-Money Laundering Specialist (CAMS)
• Knowledge of Alternative Investments ( Private Equity, Venture Capital, etc.)
• Familiarity with Discretionary Trading Products

Skills:

• Fraud Management
• Policies, Procedures, and Guidelines Management
• Reporting
• Risk Management
• Coaching
• Issue Management
• Talent Development
• Critical Thinking
• Written Communications
• Data Analysis
• Regulatory Compliance
• Investigation Management

Technical Skills:

• AML Regulatory Knowledge
• Case Investigation & Resolution
• Customer Due Diligence
• Enhanced Due Diligence
• Financial Crimes Risk Programs
• High Risk Activities & Typologies
• Products, Services and Acumen- Global Financial Crimes
• Risk Identification & Assessment
• Risk Governance & Reporting

Shift:

1st shift (United States of America)

Hours Per Week:

40