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Bank Of America Global Financial Crimes Compliance GFCC Investigator - Brokerage United States, North Carolina, Charlotte 440259009
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.
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 GFC 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.
Activities performed by this role may include, but are not limited to:
• Completes investigations while ensuring cases meet or exceed closure and quality metrics
• Reports facts of the investigation to assist in identifying potential operational or compliance risks
• Completes Suspicious Activity Reports (“SAR”) in a timely and accurate manner for submission to regulators and/or law enforcement
• Partners with GFC Management, front line units (“FLU”) or other stakeholders to resolve investigations
• Performs quality control functions, training, communications, guidance, monitoring scenariodevelopment/enhancementinput and testing, or law enforcement liaison responsibilities in an investigative support role.
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 1 or more years’ experience with Fraud, AML, Risk, or Compliance experience and/or knowledge of financial crimes typologies
◾ Bachelor’s degree or 5 or more years equivalent work experience in areas such as financial services, fraud, investigative service or law enforcement
◾ BSA knowledge relative to AML or Fraud as well as general understanding of AML typologies/red flags
◾ Proficiency in Microsoft Excel / data analytics
◾ Self-starter capable of analyzing and reporting independently
Preferred Qualifications
◾ Knowledge related to retail and/or institutional brokerage products and services and applicable compliance rules and regulations.
◾ Securities trading experience in equities, bonds, options, futures contracts
◾ Transaction analysis and how it relates to FINRA Red Flags and associated risk
◾ Knowledgeable in the areas of research: ACAT Transfers/ Rejections, Special handling, and transfers between category types (Type 1 = cash, Type 2 = Margin, Type 3 = Short, etc. )
◾ Back Office/ Front Office Experience, including security reconciliation, Margin reconciliation, securities processing/ master.
◾ Securities trading experience in equities, bonds, options, futures contracts
◾ Certifications: ACAMS – Association of Certified Anti-Money Laundering Specialists
◾ FINRA Series license welcomed but not required.
Skills:
Critical Thinking
Fraud Management
Regulatory Compliance
Written Communications
Investigation Management
Policies, Procedures, and Guidelines Management
Reporting
Risk Management
Coaching
Issue Management
Talent Development
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