Wealth Financial Intelligence Unit Investigator, Assistant Vice President

Who we are looking forThe FIU Investigator supports Financial Crimes Compliance’s (FCC) Financial Intelligence Unit(FIU). The FIU team is responsible for centralized monitoring of suspicious transactions and AML investigations where suspicious activity is present. The FIU Investigator works independently on assignments within the scope of established policies, procedures and guidelines and consults with senior staff where clarification or exception to policy may be required and may provide functional guidance to less experienced staff.

Individuals work independently on complex projects and issues. The FIU provides support and guidance to the foreign-based FIU teams. In this role, the FIU Sr Investigator completes investigations with an understanding of money movements, bonds, mutual funds ETFs, stocks, options, etc. and act as a subject matter expert to provide specialist advice, guidance and direction to team members on Securities, money laundering, market abuse, and other crime related issues in support of achievement of organizational objectives and regulatory requirements.

Why this role is important to usThe team you will be joining plays an important role in the overall success of the organization. Across the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. To make that happen we need teams like yours to help navigate employees and the organization as a whole.

In your role you will strive for cutting-edge solutions that are straightforward and scalable. You will help us build resilience and execute day-to-day deliverables at our best. Join us if making your mark in the financial services industry from day one is a challenge you are up for.

What you will be responsible forAs Financial Intelligence Unit Investigator you will Investigations with an understanding of cash movements, bonds, mutual funds, ETFs, stocks, options, etc.

Familiarity with transaction monitoring analysis/typologies related to high-net-worth individuals/entities

Act as subject matter expert to provide specialist advice, guidance and direction to team members on Securities, Broker Dealer money laundering, market abuse, suspicious cash movements, and other illicit activity.

Developing investigation reports, case dispositions and recommending courses of action.

Investigations relating to breaches of securities laws, governance and compliance matters.

Investigations into improper or unauthorized trading and market manipulation.

Manage assigned investigations ensuring timely and prompt recommendations (SAR/No SAR, escalation recommendations such as Account Closure) and reports are made to management.

Coordinate in-depth research and documentation when unusual activity is detected.

Provide recommendations to senior management on actions/strategies to mitigate money laundering, market abuse, or other illicit activity.

Conducting effective presentations to various groups, both large and small Analytical (problem solving) skills with good objectivity and discretion.

Assist in providing guidance to staff to ensure the timely resolution and appropriate documentation of routine problems. Assist in training and developing new staff.

Cultivate a positive, team-oriented approach to FIU operations.

Foster sound relationships with business units.

What we value

These skills will help you succeed in this role Understands AML typologies involving cash, investments and overall risk relevant to broker-dealers.

Ability to review the various systems utilizing data analytics techniques.

Securities Courses – benefit.

Some knowledge of the securities industry and operations.

Strong understanding of investment products such as bonds, mutual funds, stocks, ETFs, options,…