GFC Investigator – Brokerage, AML/Fraud
Bank of America
full-time
Posted on:
Location Type: Office
Location: Chicago • Illinois • New Jersey • United States
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Salary
💰 $68,500 - $100,000 per year
About the role
- 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) to resolve investigations
- Performs quality control functions, training, communications, guidance, monitoring scenario development/enhancement input and testing, or law enforcement liaison responsibilities
Requirements
- 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
- 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)
Benefits
- Industry-leading benefits
- Access to paid time off
- Support for physical, emotional, and financial wellness
- Annual discretionary award based on performance
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
Suspicious Activity ReportingRetail Brokerage ProductsEquitiesFixed Income ProductsStructured InvestmentsSecuritized ProductsMutual FundsBack Office OperationsMarginACAT Transfer
Soft Skills
Stakeholder ManagementQuality ControlTrainingCommunicationGuidanceMonitoringScenario DevelopmentTestingLiaison Responsibilities
Certifications
FINRA Securities Essential ExamFINRA Series 7FINRA Series 6