GFC Investigator (Brokerage - AML)

About the Role

At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. The Global Financial Crimes Compliance (GFCC) Investigator performs end-to-end investigations across one or more lines of business, specifically focused on Special Investigations, Global Markets, or Global Wealth and Investment Management. This role conducts complex investigations, including fraud, securities fraud, money laundering, or terrorist financing, and ensures cases meet closure and quality metrics.

Responsibilities

• Completes investigations while ensuring 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
• 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

Required Qualifications

• Minimum of five years of relevant experience
• Understanding of Retail Brokerage Products, Clients, and Services (e.g., Equities, Fixed Income Products, Structured Investments, Securitized Products, Mutual Funds)
• Understanding of entity structures (e.g., Personal Holding Companies, Retirement and Trust Accounts)
• FINRA Securities Essential Exam/ FINRA Series 7, Series 6 or relevant experience in back office operations, Margin, ACAT Transfer
• Suspicious Activity Reporting (SAR) experience
• Stakeholder Management experience (FLU, Business Controls, Risk)
• Understanding of Rules, Regulations, and Compliance (FINRA/SEC)

Desired Qualifications

• Bachelor's Degree in a related field
• Experience in financial services and/or a related government entity
• Certified Anti-Money Laundering Specialist (CAMS)
• Data Management, Review, and Analysis skills
• FINRA Services Principal Licensure (Series 4, 24, 53, 9/10)
• Knowledge of Alternative Investments (e.g., Private Equity, Venture Capital)
• Familiarity with Discretionary Trading Products

Skills

• Fraud Management
• Policies, Procedures, and Guidelines Management
• Reporting
• Risk Management
• Coaching
• Issue Management
• Talent Development
• Critical Thinking
• Written Communications
• Data Analysis
• Regulatory Compliance
• Investigation Management

Technical Skills

• AML Regulatory Knowledge
• Case Investigation & Resolution
• Customer Due Diligence & Enhanced Due Diligence
• Financial Crimes Risk Programs
• High-Risk Activities & Typologies
• Products, Services, and Acumen - Global Financial Crimes
• Risk Identification & Assessment
• Risk Governance & Reporting

Shift: 1st shift (United States of America)

Hours Per Week: 40