Senior AML Investigator – Brokerage & Financial Crimes

Bank of America; Charlotte (NC); On-site; USD 69,000 - 102,000; Full time

Benefits offered by this job

Discretionary incentive plan

Benefits eligible

Job summary

Bank of America is seeking a GFCC Investigator to perform end-to-end investigations across lines of business, focusing on Special Investigations, Global Markets, or Global Wealth and Investment Management. You will conduct complex investigations including fraud, money laundering, or terrorist financing.

You will file SARs, report findings to senior stakeholders, collaborate with GFCC Risk Management and Front Line Units, and contribute to quality metrics while maintaining regulatory compliance.

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)

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 Mgmt

Policies & Guidelines

Reporting

Risk Mgmt

Coaching

Issue Mgmt

Talent Development

Critical Thinking

Written Communications

Data Analysis

Regulatory Compliance

Investigation Mgmt

Education

Bachelor's Degree in related field

Certified Anti-Money Laundering Specialist (CAMS)

FINRA Services Principal Licensure (Series 4, 24, 53,9/10)

Job description

Bank of America is seeking a GFCC Investigator to perform end-to-end investigations across lines of business, focusing on Special Investigations, Global Markets, or Global Wealth and Investment Management. You will conduct complex investigations including fraud, money laundering, or terrorist financing.

You will file SARs, report findings to senior stakeholders, collaborate with GFCC Risk Management and Front Line Units, and contribute to quality metrics while maintaining regulatory compliance.