Global Financial Crimes Senior Investigator (Brokerage)

Global Financial Crimes Senior Investigator (Brokerage)

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Bank of America is committed to an in-office culture with specific requirements for office-based attendance and which allows for an appropriate level of flexibility for our teammates and businesses based on role-specific considerations. At Bank of America, you can build a successful career with opportunities to learn, grow, and make an impact. Join us!

Job Description :

This job is responsible for performing end-to-end investigations or investigations support functions of external financial crimes activities across one or more lines of business. Key responsibilities include conducting routine to complex investigations, including fraud committed by external parties, money laundering, or terrorist financing and acting as the liaison to Law Enforcement as required. Job expectations include providing coaching and inputs to investigators to improve case quality, ensure 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 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

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

Reporting

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

Certifications : ACAMS Association of Certified Anti-Money Laundering Specialists

Bank of America and its affiliates consider for employment and hire qualified candidates without regard to race, religious creed, religion, color, sex, sexual orientation, genetic information, gender, gender identity, gender expression, age, national origin, ancestry, citizenship, protected veteran or disability status or any factor prohibited by law, and as such affirms in policy and practice to support and promote the concept of equal employment opportunity, in accordance with all applicable federal, state, provincial, and municipal laws. The company also prohibits discrimination on other bases such as medical condition, marital status or any other factor that is irrelevant to the performance of our teammates.

Bank of America aims to create a workplace free from the dangers and resulting consequences of illegal and illicit drug use and alcohol abuse. Our Drug-Free Workplace and Alcohol Policy ("Policy") establishes requirements to prevent the presence or use of illegal or illicit drugs or unauthorized alcohol on Bank of America premises and to provide a safe work environment.