GFC Investigator (Brokerage - AML / Fraud)

GFC Investigator (Brokerage - AML / Fraud)

Phoenix, Arizona;Pennington, New Jersey; Plano, Texas; Dallas, Texas; Tampa, Florida; Jersey City, New Jersey; Chicago, Illinois; Charlotte, North Carolina

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Job Description :

At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. We do this by driving Responsible Growth and delivering for our clients, teammates, communities and shareholders every day.

Being a Great Place to Work is core to how we drive Responsible Growth. This includes our commitment to being an inclusive workplace, attracting and developing exceptional talent, supporting our teammates' physical, emotional, and financial wellness, recognizing and rewarding performance, and how we make an impact in the communities we serve.

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!

The Global Financial Crimes Compliance (GFCC) Investigator performs end-to-end investigations across one or more lines of business relevant to the Investigators specific area of responsibility, specifically focused on Special Investigations, Global Markets, or Global Wealth and Investment Management. In the investigative role, the Investigator conducts complex investigations, including fraud committed by external parties, securities fraud, money laundering, or terrorist financing. Responsibilities for this role include completing investigations while ensuring cases meet or exceed closure and quality metrics, reporting facts of the investigation to assist in identifying potential operational or compliance risks, and completing Suspicious Activity Reports (SAR) in a timely and accurate manner for submission to regulators and / or law enforcement. This role may partner with GFCC Risk Management, front line units or other stakeholders to resolve investigations. This role ultimately reports to investigations teams responsible for coverage over Special Investigations, Global Markets, or Global Wealth and Investment Management

Responsibilities :

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

Required Qualifications :

Minimum 5 years' experience in financial products & services

1 year experience with AML, Risk, or Compliance experience and / or knowledge of financial crimes typologies

FINRA licenses including the SIE or Series 7 at minimum, or related experience

Demonstrates an understanding of introducing broker and institutional Brokerage Services, and or alternative investments / large portfolio management

Knowledge related to retail and / or institutional brokerage products and services and applicable compliance rules and regulations

BSA knowledge relative to AML or Fraud

Proficiency in Microsoft Excel / data analytics

Self-starter capable of analyzing and reporting independently

Communications, attention to detail, research / investigative knowledge

Desired Qualifications :

Series 4, Series 24 licenses preferred

Ability to analyze and manipulate large data sets

Interaction with Front Line Units & Customers / Clients

Bachelor's Degree in related field

Experience in financial services and / or a related government entity

Certified Anti-Money Laundering Specialist (CAMS)

Skills : Critical Thinking

Fraud Management

Regulatory Compliance

Written Communications

Investigation Management

Policies, Procedures, and Guidelines Management

Reporting

Risk Management

Coaching

Issue Management

Talent Development

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

Trading & Transaction Patterns (inc. Transaction Monitoring)

Shift :

1st shift (United States of America)

Hours Per Week : 40

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.

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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.

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. Should you be offered a role with Bank of America, your hiring manager will provide you with information on the in-office expectations associated with your role. These expectations are subject to change at any time and at the sole discretion of the Company. To the extent you have a disability or sincerely held religious belief for which you believe you need a reasonable accommodation from this requirement, you must seek an accommodation through the Bank's required accommodation request process before your first day of work.

This communication provides information about certain Bank of America benefits. Receipt of this document does not automatically entitle you to benefits offered by Bank of America. Every effort has been made to ensure the accuracy of this communication. However, if there are discrepancies between this communication and the official plan documents, the plan documents will always govern. Bank of America retains the discretion to interpret the terms or language used in any of its communications according to the provisions contained in the plan documents. Bank of America also reserves the right to amend or terminate any benefit plan in its sole discretion at any time for any reason.