GFC Investigator, Brokerage – AML

Bank of America

. Completes investigations while overseeing cases meet or exceed closure and quality metrics .

Posted 5/13/2026full-timeCharlotte • Florida, North Carolina • 🇺🇸 United StatesMid-LevelSeniorWebsite

About the role

Key responsibilities & impact

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

What you’ll need

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

Comp & perks

Health insurance
401(k) matching
Paid time off
Flexible work arrangements
Professional development opportunities

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

Suspicious Activity ReportingRetail Brokerage ProductsEquitiesFixed Income ProductsStructured InvestmentsSecuritized ProductsMutual FundsBack Office OperationsMarginACAT Transfer

Soft Skills

Stakeholder ManagementCommunicationTrainingQuality ControlMonitoringGuidance

Certifications

FINRA Securities Essential ExamFINRA Series 7FINRA Series 6