Bank of America

GFC Investigator – Brokerage, AML/Fraud

Bank of America

full-time

Posted on:

Location Type: Hybrid

Location: Charlotte • North Carolina • Texas • United States

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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

Requirements

  • Minimum of five years of relevant experience
  • Understanding of Retail Brokerage Products, Clients, and Services
  • FINRA Securities Essential Exam/ FINRA Series 7, Series 6 or relevant experience
  • Understanding of Rules, Regulations, and Compliance (FINRA/SEC)
Benefits
  • Health insurance
  • Retirement plans
  • Paid time off
  • Flexible work arrangements
  • Professional development
Applicant Tracking System Keywords

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

Hard Skills & Tools
investigationsSuspicious Activity Reportsclosure metricsquality metricscompliance risks
Soft Skills
reportingstakeholder communicationoversight
Certifications
FINRA Securities Essential ExamFINRA Series 7FINRA Series 6