GFCC Investigator – Specialized AML & Fraud

Job Description:

Activities performed by this role may include, but are not limited to:
• Completes investigations while ensuring cases meet or exceed closure and quality metrics
• Reports facts of the investigation to assist in identifying potential operational or compliance risks
• Completes Suspicious Activity Reports (“SAR”) in a timely and accurate manner for submission to regulators and/or law enforcement
• Partners with GFC Management, front line units (“FLU”) or other stakeholders 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

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.

Required Skills: Minimum Years Business & Functional Experience: 5 Years
Degree Required: Bachelors or equivalent experience

Desired Skills:
Additional Technical/Functional Experience (e.g. Industry type): Financial Services and/or related government entity
Certifications: ACAMS – Association of Certified Anti-Money Laundering Specialists

REQUIRED SKILLS:
◾Minimum one year experience with Fraud, AML, Risk, or Compliance experience and/or knowledge of financial crimes typologies
◾FINRA licenses including the SIE or Series 7, Series 4, Series 24
◾Knowledge related to retail and/or institutional brokerage products and services and applicable compliance rules and regulations
◾Bachelor’s degree or equivalent work experience in areas such as financial services, fraud, investigative service or law enforcement
◾BSA knowledge relative to AML or Fraud
◾Proficiency in Microsoft Excel / data analytics
◾Self-starter capable of analyzing and reporting independently

DESIRED SKILLS:
◾Experience in Law enforcement and/or interacting with law enforcement
◾Ability to analyze and manipulate large data sets
◾Interaction with Front Line Units & Customers/Clients
 

Shift:

1st shift (United States of America)

Hours Per Week: 

40