Global Financial Crimes Senior Investigator (Brokerage)
Bank of America · Dallas, TX · 3 wk ago
OTHRFull-time
Key Responsibilities
- Conducts routine to complex investigations, including fraud committed by external parties, money laundering, or terrorist financing
- Acts as the liaison to Law Enforcement as required
Job Expectations
- Provides coaching and inputs to investigators to improve case quality
- Ensures all cases are sufficiently investigated and findings are adequately documented
Responsibilities
- Reviews, analyzes, and makes recommendations on investigations, while identifying enhancements to ensure cases meet or exceed closure and quality metrics
- Reviews 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
- Supports the identification of improvements to the investigations and case assignment processes to enhance the effectiveness of investigative procedures
- Participates in the case assignment process to distribute work across the investigative team
Skills
- Coaching
- Fraud Management
- Quality Assurance
- Regulatory Compliance
- Investigation Management
- Policies, Procedures, and Guidelines Management
- Risk Management
- Issue Management
- Written Communications
Preferred Technical Skills
- Risk Identification & Assessment
- Line of Business (LoB) Products, Services & Acumen
- Risk Governance & Reporting
- Financial Crimes Risk Programs
- Enhanced Due Diligence
- Customer Due Diligence
- Regulatory Knowledge
- Case Investigations & Resolution
- High Risk Activities & Typologies
Required Qualifications
- Minimum 5 years of relevant financial crimes investigations experience, including investment experience/work and/or strong knowledge of investments/securities products and services
- FINRA licenses including the SIE or Series 7 at minimum, or related experience
- Knowledge related to retail and/or institutional brokerage products and services and applicable compliance rules and regulations
- Prior anti-money laundering / financial crimes investigation experience in a financial institution or government position
- 1+ years of AML/Compliance experience and or knowledge of AML typologies/risk
- Proficiency in Microsoft Excel is needed
Desired Qualifications
- Bachelor's Degree in related field
- Experience in financial services and/or a related government entity
Shift
1st shift (United States of America)
Hrs Per Week
40