Senior Investigator, Financial Crimes (Brokerage)

Bank of America; Pennington (AL); On-site; USD 90,000 - 115,000; Full time

Benefits offered by this job

Discretionary incentive eligible

Benefits eligible

Job summary

Bank of America is seeking an experienced investigator to perform end-to-end investigations of external financial crimes across lines of business. You will review cases, coordinate with law enforcement, and provide coaching to improve case quality while documenting findings.

Role requires 5+ years in financial crimes investigations, FINRA SIE/Series 7, and proficiency in Excel. Travel to multiple US offices may be involved; strong regulatory knowledge is essential.

Qualifications

• Minimum 5 years of relevant financial crimes investigations experience, including investment experience/work and/or strong knowledge of investments/securities products and services.
• FINRA licenses including the SIE or Series 7 at minimum, or related experience
• Knowledge related to retail and/or institutional brokerage products and services and applicable compliance rules and regulations
• Prior anti-money laundering / financial crimes investigation experience in a financial institution or government position
• 1+ years of AML/Compliance experience and or knowledge of AML typologies/risk
• Proficiency in Microsoft Excel is needed

Responsibilities

• Reviews, analyzes, and makes recommendations on investigations, while identifying enhancements to ensure cases meet or exceed closure and quality metrics
• Reviews 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
• Supports the identification of improvements to the investigations and case assignment processes to enhance the effectiveness of investigative procedures
• Participates in the case assignment process to distribute work across the investigative team

Skills

Coaching

Fraud Management

Quality Assurance

Regulatory Compliance

Investigation Management

Policies, Procedures, and Guidelines

Risk Management

Issue Management

Reporting

Written Communications

Education

Bachelor's Degree

ACAMS Certification

Tools

Microsoft Excel

Job description

Bank of America is seeking an experienced investigator to perform end-to-end investigations of external financial crimes across lines of business. You will review cases, coordinate with law enforcement, and provide coaching to improve case quality while documenting findings.

Role requires 5+ years in financial crimes investigations, FINRA SIE/Series 7, and proficiency in Excel. Travel to multiple US offices may be involved; strong regulatory knowledge is essential.