More jobs:
GFC Investigator – Brokerage, AML
Job in
Trenton, Mercer County, New Jersey, 08628, USA
Listed on 2026-07-14
Listing for:
Jobtailor
Full Time
position Listed on 2026-07-14
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist -
Law/Legal
Regulatory Compliance Specialist
Job Description & How to Apply Below
- Completes investigations while overseeing cases meet or exceed closure and quality metrics
- Completes Suspicious Activity Reports (SAR) in a timely and accurate manner
- Reports facts of the investigation to senior stakeholders
- Minimum of five years of relevant experience
- Understanding of Retail Brokerage Products, Clients, and Services
- FINRA Securities Essential Exam/FINRA Series 7, Series 6 or relevant experience
- Understanding of Rules, Regulations, and Compliance (FINRA/SEC)
To View & Apply for jobs on this site that accept applications from your location or country, tap the button below to make a Search.
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
Search for further Jobs Here:
×