Financial Crime

• 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 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
• Analyze financial transactions to assess whether activity is suspicious and warrants further investigation.
• Manage the full lifecycle of fraud investigations, from initial review through documentation and resolution.
• Gather and evaluate relevant information to support sound decision-making throughout the investigative process.

Global Financial Crimes Investigator

• supporting the execution of substantive money laundering, economic sanctions and fraud compliance and operational risk practices
• assisting Global Financial Crimes executives and managers with activities that support the identification, escalation and timely mitigation of compliance and operational risks
• Supports the development and maintenance of financial crimes owned policies and standards
• Assists in the production of independent financial crimes risk management reporting

Global Financial Crimes Specialist

• Executes independent model validation control activities for lower risk, in-house and vendor, models
• Conducts validation activities for low-risk, in-house models, and assists, under supervision and in collaboration with peers, on higher risk, complex and vendor models
• Conducts back-testing, diagnostic testing, sensitivity analysis, benchmarking, and other validation tests/analyses on lower risk models; collaborates with senior-level validators for higher risk models
• Executes and assists in replicating model development and may help develop challenger models through principles of predictive modeling, machine learning, time-series modeling/forecasting, stress testing, heuristic models, actuarial models, and/or other techniques
• Reviews at a working experience level the end-to-end life-cycle management of model development, implementation, ongoing monitoring, and use in areas of Banking and Insurance (Property & Casualty and Life) along with their corresponding business support functions and operational processes
• Assesses the materiality of model changes and conducts model change validations
• Produces and delivers validation reports and related validation work to model validation management and model stakeholders
• Executes the independent model validation process compliant with the written risk and compliance policies and procedures at a working experience level
• Evaluates model risk control strengths around model development, implementation, and use

Model Validator – Mid-Level, Fraud/AML

• Performs quality control reviews of KYC files
• Ensures compliance with BSA/AML policy
• Documents each review by completing a QC Checklist
• Communicates concerns with the Onboarding unit and the Team Lead
• Maintains effective working relationships with key business partners
• Stays abreast of developments concerning BSA/AML/Sanctions

KYC Quality Control Analyst

• Partners with their assigned Line of Business, other Risk/Compliance/Audit (RCA) professionals, and RCA Managers to, depending on their function, create, implement, maintain, review or oversee an effective risk management framework.
• Participates in projects and/or activities that ensure compliance with applicable federal, state, and local laws and regulations.
• Identifies gaps and informs solutions that minimize losses resulting from inadequate internal processes, systems or human errors.
• Identifies, responds and/or escalates risks as appropriate.
• Serves as a functional liaison between the Line of Business and the Lines of Defense.

AML/Fraud Intake – Analyst

• Review and investigate escalated sanctions, PEP, and adverse media alerts
• Assess general and specific sanctions licenses to determine transaction permissibility
• Maintain and validate sanctions screening data
• Conduct sanctions screening on customers and counterparties
• Perform testing, tuning, and optimization of screening systems
• Partner with Compliance and cross-functional teams to support investigations
• Leverage data, automation, and AI to enhance screening processes

Senior AML Analyst, Sanctions

• Performing end-to-end investigations of external financial crimes
• Conducting routine to complex investigations, including fraud, money laundering, and terrorist financing
• Acting as liaison to Law Enforcement as required
• Providing coaching and inputs to investigators to improve case quality
• Reviewing Suspicious Activity Reports in a timely manner

Global Financial Crimes Senior Investigator

• Completes investigations while overseeing cases meet or exceed closure and quality metrics
• Completes Suspicious Activity Reports (SAR) in a timely and accurate manner
• Reports facts of the investigation to senior stakeholders
• Partners with Global Financial Crimes (GFC) Management and/or Front Line Units (FLU) to resolve investigations
• Performs quality control functions

GFC Investigator – Brokerage, AML

• Advises and directs the development and maintenance of financial crimes owned policies and standards, and reviews relevant Front Line Units/Control Functions-owned policies and standards to ensure that regulatory requirements and operational risks are appropriately addressed.
• Produces and/or oversees independent financial crimes risk management reporting to Global Compliance & Operational Risk (GC&OR) Senior Leaders and FLU/CF Senior Leaders.
• Monitors the changes in regulations applicable to Global Financial Crimes, including advising business leaders, directing the appropriate areas to implement or amend policies, standards, procedures and/or processes to address regulatory requirements, and challenging the implementation plan as needed.
• Participates in industry forums and monitors regulatory expectations, emerging legislation and regulation, political scrutiny, litigation and key influencers to identify and mitigate emerging risks.
• Escalates financial crimes related compliance and operational risks and issues to appropriate governance routines, management/board level committees.
• Identifies, aggregates, reports, escalates, inspects, and challenges the remediation and thematic analysis of FLU/CF-owned issues and control enhancements related to financial crimes.
• Reviews and challenges internal and external operational loss events, including the development of remediation plans to strengthen controls and providing oversight to ensure they are addressed appropriately.
• Identify, assess, and monitor emerging risks within financial crimes investigations.
• Conduct end-to-end process analysis to uncover inefficiencies and recommend improvements that enhance investigative outcomes.
• Lead initiatives to reduce non-value-added processes and create robust, high-value investigation outcomes.
• Develop and implement risk-based internal controls to prevent, detect, and report financial crimes.
• Evaluate the effectiveness of internal controls and identify gaps or weaknesses.
• Provide subject matter expertise to support the development of regulatory changes.
• Monitor regulatory changes and advise business leaders on implications; ensure timely updates to policies, standards, and procedures.
• Escalate financial crimes-related compliance and operational risks to appropriate governance bodies.
• Oversee remediation of financial crimes-related compliance and operational risk issues.
• Design and monitor key risk and control performance metrics; report on performance and breach remediation.
• Analyze investigation performance data and trends to provide actionable feedback and foster an inclusive team environment.

Global Financial Crimes Manager

• Triage Internal Referrals: Assess incoming internal referrals and escalations related to potential money laundering concerns or customer risk.
• Customer Due Diligence (CDD): Perform initial and ongoing due diligence on prospects and existing customers.
• Transaction Monitoring: Review and analyze customer activity to detect patterns indicative of money laundering or other illicit activities.
• Investigations: Conduct initial investigations into flagged transactions, customer behavior, and alerts to determine legitimacy and risk.
• Collaboration: Collaborate with business partners and internal teams such as Compliance, Legal, Operations, Fraud, and Risk teams.

AML Analyst

• Own and manage complex investigative escalations, including multi‑account and multi‑entity investigations
• Serve as the central escalation point for urgent or high‑severity matters requiring senior leadership awareness or immediate action.
• Ensure appropriate identification of subjects, activity scope, and risk exposure across cases.
• Conduct 1:1s, performance reviews, coaching, and development plans; address performance issues with timely documentation and escalation as needed.
• Build team capability through onboarding, ongoing coaching, and targeted training on typologies, investigative methods, and narrative quality.
• Establish and monitor quality standards; ensure staff follow procedures and documentation requirements.
• Review and challenge investigative analyses, conclusions, and SAR determinations to ensure they are sound, defensible, and well‑documented.
• Partner with QA and Governance teams to identify systemic issues, trends, or control gaps emerging from complex investigations.
• Provide investigative support and coaching to product‑aligned SAM, Fraud, and Sanctions teams.
• Serve as a subject‑matter expert on advanced typologies, investigative techniques, and analyst judgment.
• Support responses to regulatory inquiries, exams, and enforcement‑related follow‑ups as needed.

Manager, Advanced Financial Crimes Investigations – BSA/AML & Sanctions Operations

• Conduct compliance oversight reviews of business lines and third parties to assess adherence to applicable laws, regulations, and company policy. Evaluate the adequacy of internal controls and support remediation efforts as needed. Prepare procedures, workpapers, reports, and other supporting documentation.
• Serve as a subject matter resource to help ensure documents, projects, processes, and product initiatives align with regulatory requirements and company standards.
• Contribute to the development and maintenance of line-of-business guidance and standards related to AML compliance.
• Partner with business lines and third parties to implement AML initiatives and provide support through training, process documentation, and ongoing consultation.
• Provide advisory support to the first line of defense by answering questions, offering technical guidance, and assisting with issue identification and resolution.
• Support risk and compliance assessments of new or changing products, services, processes, and procedures to help ensure BSA and OFAC requirements are considered and addressed.
• Assist with implementing and improving procedures, tools, and controls in coordination with team members and stakeholders.
• Monitor and help validate compliance with third-party contractual obligations related to service delivery, as applicable.
• Maintain knowledge of relevant financial services products, emerging risks, and the AML regulatory environment.
• Review proposed and existing laws, regulations, and guidance to evaluate potential business impact and communicate key considerations to stakeholders.
• Perform other duties or special projects as assigned.

BSA/AML Risk Analyst II

• Partners with their assigned Line of Business, other Risk/Compliance/Audit (RCA) professionals, and RCA Managers to, depending on their function, create, implement, maintain, review or oversee an effective risk management framework.
• Participates in projects and/or activities that ensure compliance with applicable federal, state, and local laws and regulations.
• Identifies gaps and inform solutions that minimize losses resulting from inadequate internal processes, systems or human errors.
• Identifies, responds and/or escalates risks as appropriate.
• Serves as a functional liaison between the Line of Business and the Lines of Defense.

AML/Fraud Intake Analyst

• Utilize internal and external data to provide insights, develop analytical strategies, and provide analytical support regarding a wide array of business initiatives in the Financial Crimes space.
• Partner with business and technical groups to design and implement analytic solutions; provide influence and leadership in the identification of new tools and methods to analyze data.
• Perform detailed analysis to detect transactional and relationship risk insights, trends, anomalies and schemes across multiple businesses or products.
• Lead exploratory transactional reviews to scope target populations, managing and coordinating partner feedback and reviewing risk presentations that require visibility from senior management and governance.
• Lead and support interactions with internal and external partners to advance intelligence initiatives and information sharing involving AML, CFT, and Fraud typologies and relevant industry risks and trends.
• Maintain awareness of and accountability to global financial crimes risks and trends and geopolitical events impacting Wells Fargo business operations.
• Perform investigative research, root cause assessment and consulting regarding highly complex financial crimes transactions, policy violations and suspicious situations with moderate to high risk.
• Partners with key stakeholders to develop strategies to identify and mitigate financial crimes risk at an enterprise level through innovative analysis.
• Leads projects, teams or functions as a subject-matter expert to less experienced team members and partners.

Senior Financial Crimes Specialist, Financial Crimes Intelligence Team

• Owns the lifecycle management of BSA/AML operational policies, procedures, and standards
• Coordinates BSA/AML training content, deployment, and documentation
• Manages audit, validation, and regulatory exam coordination and response tracking
• Provides governance oversight but does not directly manage alert or investigation production queues

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