Financial Crime Risk Investigator II -Securities

Financial Crime Risk Investigator II

The Financial Crime Risk Investigator II conducts investigations of moderate complexity for both internal and external cases. Recommends for demarket and/or freezing accounts by the appropriate investigative unit. Conducts adjudications of moderate complexity. May provide QA/review and mentorship of a team. Applies reasonable grounds to suspect money laundering and terrorist financing.

The Financial Crime Risk Investigator II (US) plays a critical role in safeguarding the organization's financial integrity by conducting thorough end-to-end investigations within Securities. This position is responsible for managing diverse internal and external investigations, utilizing expertise to establish reasonable grounds for suspecting money laundering and terrorist financing. The Investigator's work directly contributes to mitigating financial crime risks and disrupting illicit activities, ensuring compliance, and protecting the organization's reputation.

The Financial Crime Risk Investigator II (US) conducts end-to-end investigations of various higher complexity and sensitivity through analysis of evidence gathered for both internal and external investigations. Includes authority in applying reasonable grounds to suspect money laundering/terrorist financing, mitigating, and disrupting financial crime (recommending for demarket and/or freezing accounts by the appropriate investigative unit).

Depth & Scope:

• Experienced working professional role providing services, advisory or processes/program support
• Requires experienced, conceptual, and practical knowledge within respective area and knowledge of broader related areas
• Accountable for own work and sometimes others; acts as an escalation point or knowledge resource for others in their own area
• Leads projects or work streams within broader projects with moderate risk and may be accountable for ongoing activities, processes, and functional programs
• Works within broad guidelines/policies and independently performs tasks from end to end
• Work performed under minimal management guidance and supervision

Education & Experience:

• Undergraduate degree or equivalent work experience
• 3+ years experience

Preferred

Skills:

• 3+ years' experience in a Broker-Dealer and/or Securities related investigations role
• Thorough understanding of Securities products such as Fixed Income, Foreign Exchange, Prime Brokerage, Equities, Low Priced Securities, etc.
• Knowledge of market abuse typologies such as insider trading, market manipulation, front running, and layering/spoofing
• Knowledge of financial industry products, policies, and procedures that involve Institutional Clients, Broker-Dealers, and Securities related Investigations
• Understanding of regulatory requirements including FINRA, SEC, and applicable AML/BSA regulations
• Ability to manage multiple investigations simultaneously while meeting deadlines in a fast-paced environment
• Strong critical thinking and problem-solving skills with attention to detail
• Experience reviewing trading activity, transaction patterns, and customer behavior to identify potential misconduct or suspicious activity
• Ability to analyze large data sets and document investigative findings in a clear, concise, and defensible manner
• Strong written and verbal communication skills, including the ability to prepare detailed investigative reports and present findings to management
• Experience working with surveillance systems, case management tools, and investigative platforms

Customer Accountabilities:

• Conducts investigative analysis by collecting, assessing, and collating case file information for AML, Sanctions/ABAC & Financial Crime investigations
• Conducts data analysis, manipulation and interpretation looking for patterns and anomalies
• Initiates investigations and/or responds to emerging AML and Sanctions/ABAC risks
• Assists with reviewing and investigating court orders (subpoenas) related to criminal actions
• Assists and coordinates investigations with various law enforcement agencies as delegated
• Prepares and delivers AML, Sanctions/ABAC & Financial Crime and/or fraud detection/loss prevention training or updates to Bank Employees or other agencies as…