GFC Investigator; Brokerage - AML

Global Financial Crimes Compliance (GFCC) Investigator

Conduct end-to-end investigations across one or more lines of business relevant to the investigator’s specific area of responsibility, specifically focused on Special Investigations, Global Markets, or Global Wealth and Investment Management. The investigator performs complex investigations, including fraud committed by external parties, securities fraud, money laundering, or terrorist financing. Responsibilities 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 and ultimately reports to investigations teams responsible for coverage over the focus area.

• Complete investigations while ensuring cases meet or exceed closure and quality metrics
• Prepare and submit Suspicious Activity Reports (SAR) in a timely and accurate manner for regulators or law enforcement
• Report facts of the investigation to senior stakeholders, assisting in identifying operational or compliance risks and partner with Global Financial Crimes Management and/or Front Line Units to resolve investigations
• Perform quality control functions, training, communications, guidance, monitoring scenario development/enhancement input and testing, or law enforcement liaison responsibilities in an investigative support role

• Minimum of five years of relevant experience
• Understanding of Retail Brokerage Products, Clients, and Services, such as Equities, Fixed Income Products, Structured Investments, Securitized Products, Mutual Funds, and entity structures, such as Personal Holding Companies, Retirement and Trust Accounts
• FINRA Securities Essential Exam / FINRA Series 7, Series 6 or relevant experience in back office operations, Margin, ACAT Transfer
• Experience with Suspicious Activity Reporting (SAR)
• Stakeholder Management (FLU, Business Controls, Risk)
• Knowledge of Rules, Regulations, and Compliance (FINRA/SEC)

• Bachelor's Degree in a related field
• Experience in financial services and/or a related government entity
• Certified Anti-Money Laundering Specialist (CAMS)
• Data Management, Review, and Analysis
• FINRA Services Principal Licensure (Series 4, 24, 53, 9/10)
• Knowledge of Alternative Investments (Private Equity, Venture Capital, etc.)
• Familiarity with Discretionary Trading Products

• Fraud Management
• Policies, Procedures, and Guidelines Management
• Reporting
• Risk Management
• Coaching
• Issue Management
• Talent Development
• Critical Thinking
• Written Communications
• Data Analysis
• Regulatory Compliance
• Investigation Management

• AML Regulatory Knowledge
• Case Investigation & Resolution
• Customer Due Diligence
• Enhanced Due Diligence
• Financial Crimes Risk Programs
• High Risk Activities & Typologies
• Products, Services and Acumen – Global Financial Crimes
• Risk Identification & Assessment
• Risk Governance & Reporting

Shift: 1st shift (United States of America)

Hours Per Week: 40

Pay Range: $68,500.00 - $ annualized salary, offers to be determined based on experience, education and skill set.

Benefits: This role is currently benefits eligible. We provide industry-leading benefits, access to paid time off, resources and support to our employees so they can make a genuine impact and contribute to the sustainable growth of our business and the communities we serve.