GFC Investigator (Brokerage - AML)

Bank of America

Phoenix (AZ)

On-site

USD 90,000 - 140,000

Full time

8 days ago

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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

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!

The Global Financial Crimes Compliance (GFCC) Investigator performs end-to-end investigations across one or more lines of business relevant to the Investigators 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: