GFC Investigator (Brokerage - AML)

Bank of America; New York (NY); Sur place; USD 100 000 - 150 000; Plein temps

Résumé du poste

Bank of America is seeking a Global Financial Crimes Compliance Investigator in New York to conduct end-to-end investigations across lines of business, focusing on fraud, money laundering, and related risks. You will complete SARs timely, report facts to stakeholders, and collaborate with GFCC teams to mitigate compliance risks.

The role requires at least five years of experience, knowledge of retail brokerage products, FINRA licenses, and strong data analysis, communication, and leadership

Qualifications

• Minimum of five years of relevant experience.
• Understanding of Retail Brokerage Products and services.
• FINRA Securities Essentials (Series 7/6) or equivalent.
• SAR reporting experience and regulatory familiarity.

Responsabilités

• Conduct end-to-end investigations across designated business lines.
• Prepare timely SARs and report findings to regulators or law enforcement.
• Collaborate with GFCC and front-line units to resolve investigations.
• Perform quality control and training in investigative processes.

Connaissances

Fraud management

Policies & guidelines

Reporting

Risk management

Coaching

Issue management

Talent development

Critical thinking

Written communications

Data analysis

Regulatory compliance

Investigation management

Formation

Bachelor's degree in related field

Description du poste

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’s 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!

The Global Financial Crimes Compliance (GFCC) Investigator performs end-to-end investigations across one or more lines of business relevant to the Investigator specific area of responsibility, specifically focused on Special Investigations, Global Markets, or Global Wealth and Investment Management. In the investigative role, the Investigator conducts complex investigations, including fraud committed by external parties, securities fraud, money laundering, or terrorist financing. Responsibilities for this role include completing investigations while ensuring cases meet or exceed closure and quality metrics, reporting facts of the investigation to assist in identifying potential operational or compliance risks, and completing Suspicious Activity Reports (SAR) in a timely and accurate manner for submission to regulators and/or law enforcement. This role may partner with GFCC Risk Management, front line units or other stakeholders to resolve investigations. This role ultimately reports to investigations teams responsible for coverage over Special Investigations, Global Markets, or Global Wealth and Investment Management.

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