Bank of America

GFC Investigator – Brokerage, AML/Fraud

Bank of America

full-time

Posted on:

Location Type: Office

Location: Pennington • 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 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

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, such as Personal Holding Companies, Retirement and Trust Accounts
  • 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
  • Employees are eligible for an annual discretionary award based on their overall individual performance results and behaviors
  • access to paid time off
  • industry-leading benefits
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
Suspicious Activity Reports (SAR)quality controlinvestigative supportback office operationsMarginACAT Transfer
Soft Skills
stakeholder managementcommunicationtrainingguidancemonitoring
Certifications
FINRA Securities Essential ExamFINRA Series 7FINRA Series 6