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GFC Investigator – Brokerage, AML
Job in
Chicago, Cook County, Illinois, 60290, USA
Listed on 2026-08-02
Listing for:
Jobtailor
Full Time
position Listed on 2026-08-02
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
Responsibilities
- Completes investigations while overseeing cases meet or exceed closure and quality metrics
- Completes Suspicious Activity Reports (SAR) in a timely manner
- Reports facts of the investigation to senior stakeholders
- Performs quality control functions and investigative support roles
- Minimum of five years of relevant experience
- Understanding of Retail Brokerage Products and Clients
- FINRA Securities Essential Exam/ FINRA Series 7, Series 6 or relevant back office operations experience
- Stakeholder Management skills
- Understanding of Rules, Regulations, and Compliance (FINRA/SEC)
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