GFC Investigator (Brokerage - AML/Fraud)

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The Global Financial Crimes Compliance (GFCC) Investigator performs end-to-end investigations across one or more lines of business relevant to the Investigators specific area of responsibility, specifically focused on Special Investigations, Global Markets, or Global Wealth and Investment Management. In the investigative role, the Investigator conducts complex investigations, including fraud committed by external parties, securities fraud, money laundering, or terrorist financing. Responsibilities for this role 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. This role ultimately reports to investigations teams responsible for coverage over Special Investigations, Global Markets, or Global Wealth and Investment Management

Responsibilities:

• Completes investigations while overseeing cases meet or exceed closure and quality metrics

• Completes Suspicious Activity Reports (SAR) in a timely and accurate manner for submission to regulators and/or law enforcement

• Reports facts of the investigation to senior stakeholders, assisting in identifying potential operational or compliance risks and partners with Global Financial Crimes (GFC) Management and/or Front Line Units (FLU) to resolve investigations

• Performs quality control functions, training, communications, guidance, monitoring scenario development/enhancement input and testing, or law enforcement liaison responsibilities in an investigative support role

Required Qualifications:

• 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 the areas of back office operations, Margin, ACAT Transfer

• Suspicious Activity Reporting (SAR)

• Stakeholder Management (FLU, Business Controls, Risk)

• Understanding of Rules, Regulations, and Compliance (FINRA/SEC)

Desired Qualifications:

• Bachelor's Degree in 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)

• Certified Anti-Money Laundering Specialist (CAMS)

• Knowledge of Alternative Investments ( Private Equity, Venture Capital, etc.)

• Familiarity with Discretionary Trading Products

Skills:

• 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

Technical Skills:

• 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 Transparency details

US - NJ - Pennington - 1600 American Blvd - Hopewell Bldg 6 (NJ2600)

Pay and benefits information

Pay range

$68,500.00 - $100,000.00 annualized salary, offers to be determined based on experience, education and skill set.

Discretionary incentive eligible

This role is eligible to participate in the annual discretionary plan. Employees are eligible for an annual discretionary award based on their overall individual performance results and behaviors, the performance and contributions of their line of business and/or group; and the overall success of the Company.

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.