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Bank Of America Senior Global Financial Crimes GFC Investigator United States, Texas, Plano 200174289
Job Description:
Job Description:
This job is responsible for performing end-to-end investigations or investigations support functions of external financial crimes activities across one or more lines of business. Key responsibilities include conducting routine to complex investigations, including fraud committed by external parties, money laundering, or terrorist financing and acting as the liaison to Law Enforcement as required. Job expectations include providing coaching and inputs to investigators to improve case quality, ensure all cases are sufficiently investigated and findings are adequately documented.
The Senior Global Financial Crimes (“GFC”) Investigator, under broad supervision, partners with investigators to ensure investigative procedures are followed and quality standards are maintained. The Senior GFC Investigator is a subject matter expert (“SME”) in the financial crimes area and is responsible for approving recommendations by the GFC Investigator to file or not to file a Suspicious Activity Report (“SAR”) as a result of a completed investigation. The Senior GFC Investigator will be relied upon to direct their attention to completing investigations reviews, managing risk, 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.
Activities this role performs include, but are not limited to:
• Delivering 2nd line risk management by conducting routine and complex investigations reviews involving various lines of business, Global Consumer, Global Banking and Markets (GBAM), as well as Global Wealth and Investment Management (GWIM) clients and accounts. Such investigations may involve components of elder abuse, fraud committed by external parties, money laundering, or terrorist financing and acts as the liaison to Law Enforcement as required.
• Reviewing all cases completed by the team to ensure a thorough and accurate assessment of risk.
• Providing coaching and input to GFC investigators on work product to improve quality and ensure all cases are sufficiently investigated and findings adequately documented.
• Ensuring accuracy and quality of case investigations and documented findings.
• Communicating case returns/ risk in a timely and efficient manner.
• Analyzing the facts presented by the investigator, reviews investigator recommendations, and makes the determination of whether a SAR and/or state report should be filed, as well as the future disposition of the client’s
• Participating in the onboarding supporting and mentoring of investigators.
• Participating in the case assignment process to distribute work across investigative teams in consideration team capacity and optimal performance.
• Supporting the identification of improvements to the investigations and case assignment processes to enhance the effectiveness and efficiency of the investigative procedures.
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
Required Qualifications:
5+ years of Business & Functional Experience
FINRA Series 7 and/or Series 24 license and additional Principal Licenses (*Only for Broker Dealer Supporting Roles)
1+ years of AML/Compliance experience and or knowledge of AML typologies
1+ years of investment experience/work or good knowledge ofinvestments/securitiesproducts and services.
Prior anti-money laundering / financial crimes investigation experience in a financial institution or government position.
Strong and effective verbal and writtencommunication/skills.
Proficiency in Microsoft Excel.
Self-starter capable of analyzing and reporting independently.
Keen eye for detail.
Prior experience and knowledge of investments and securities
Education requirement: Bachelor’s Degree or equivalent work experience
Desired Qualifications:
Additional Technical/Functional Experience (e.g. Industry type): Financial Services and/or related government entity
Certifications: ACAMS – Association of Certified Anti-Money Laundering Specialists
Skills:
Coaching
Fraud Management
Quality Assurance
Regulatory Compliance
Investigation Management
Policies, Procedures, and Guidelines Management
Risk Management
Issue Management
Reporting
Written Communications
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