GFC Investigator – Brokerage, AML/Fraud
Bank of America
full-time
Posted on:
Location Type: Hybrid
Location: Pennington • New Jersey • North Carolina • 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
- This role is currently benefits eligible.
- We provide industry-leading benefits, access to paid time off, resources and support to our employees so they can make a genuine impact and contribute to the sustainable growth of our business and the communities we serve.
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 ManagementCommunicationTrainingQuality ControlGuidanceMonitoringOperational Risk IdentificationCompliance Risk Identification
Certifications
FINRA Securities Essential ExamFINRA Series 7FINRA Series 6