GFC Investigator (Brokerage AMLFraud)
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Job Location:
Charlotte, VT - USA
Monthly Salary:
Not Disclosed
Posted on:
2 days ago
Vacancies:
1 Vacancy
Job Summary
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 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:
- Bachelors 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 24 539/10)
- 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
Key Skills
- Risk Management
- Bank Secrecy Act
- Fraud
- PCI
- Law Enforcement
- Banking
- Business Management
- Regulatory Reporting
- Analysis Skills
- Customer Support
- UCC Law
- RMF
About Company
What would you like the power to do? At Bank of America, our purpose is to help make financial lives better through the power of every connection.
