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Bank Of America Global Financial Crimes Specialist United States, North Carolina, Charlotte 815904515
Job Description:
The Global Financial Crimes (GFC) Specialist role is responsible for assisting Global Financial Crimes executives and managers in the execution of the Company's Global Financial Crimes (GFC) Program with a focus on Merrill Lynch, Private Bank, Consumer Investments, Global Markets – U.S. and Global Operations (including Wealth Management Operations and Global Markets – U.S. Operations). Key responsibilities include working closely with Global Financial Crimes executives and managers to support the identification, escalation and timely mitigation of compliance and operational risks in alignment with the Compliance and Operational Risk Management (CORM) Program, the Financial Crimes and Global Compliance - Enterprise Policy and Standards. This individual will use various tools and data analytics skills to learn to detect, escalate and report potentially suspicious activity and manage the business of money laundering risk. This individual will be trained to identify potential trends and themes to further enhance the GFC’s financial crimes oversight of compliance and operational risk.
Responsibilities:
- Partner and support GFC executives, managers and risk management teams with analysis of business processes, internal controls, client behavior and transaction trends (e.g. Single Process Inventory review and assessments., etc.)
- Assist in GFC GWIM and Global Markets – U.S. team’s execution of the Global Financial Crimes Program, including regulatory change, issue management, challenges, governance reporting, exam and audit coordination, metrics, etc.
- Assist and support the GFC GWIM and Global Markets – U.S. risk managers with the following:
- Conduct risk assessments, threat assessments and process understandings to identify new or emerging financial crimes risks
- Perform data analysis to assess front line unit (FLU) controls and identify opportunities to improve the FLU control environment (e.g. Single Process Inventory control assessments, etc.)
- Identify potentially suspicious broker-dealer activity such as insider trading, market abuse/market manipulation and potentially unusual trading activity
- Participate in ad-hoc projects related to regulatory inquiries, trading and market moving news events (corporate scandals, regulatory actions, regulatory developments) and internal escalations
- Develop, execute and evaluate monitoring and testing routines results to identify potential trends, patterns or gaps in GFC oversight of the Global Financial Crimes Program related to GWIM and Global Markets – U.S.
- Assist in the production of independent financial crimes risk management reporting
Required Qualifications:
- 3 - 5 Years working in anti-money laundering compliance, audit, risk or a process/controls focused position.
- Bachelors’ degree or equivalent years of experience
Desired Qualifications:
- Financial Services and/or related government entity
- Strong personal drive, attention to detail, individual initiative, a sense of urgency and responsiveness, with a desire to grow, learn and take on increasing levels of responsibility
- Must be a self-motivated, critical thinker who is comfortable and effective working with varying levels of guidance
- Ability to handle multiple projects in dynamic environment and global team setting
- Risk management, issue management, regulatory guidance
- Proven process design and project management
- Policies, procedures and guidelines management
- Monitoring, Surveillance, and Testing
- Written and Oral Communications
- Presentation and Reporting Skills
- Proficient in Microsoft Products including expert knowledge of PowerPoint and Excel
- Certification: ACAMS – Association of Certified Anti-Money Laundering Specialists
- Broker/Dealer industry experience
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