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Bank Of America Global Financial Crimes Compliance GFCC Investigator - Brokerage United States, North Carolina, Charlotte 508067422
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.
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
Partners with Global Financial Crimes (GFC) Management and/or Front Line Units (FLU) or other stakeholders 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
Minimum 1-2 years’ experience with Fraud, AML, Risk, or Compliance experience and/or knowledge of financial crimes typologies
Bachelor’s degree or 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
Ability to analyze and manipulate large data sets
Interaction with Front Line Units & Customers/Clients
Desired Qualifications:
Bachelor's Degree in related field
Experience in financial services and/or a related government entity
Certified Anti-Money Laundering Specialist (CAMS)
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
FINRA Series license welcomed but not required.
Skills:
Regulatory Compliance
Fraud Management
Critical Thinking
Written Communications
Investigation Management
Policies, Procedures, and Guidelines Management
Risk Management
Reporting
Issue Management
Talent Development
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