GFC Investigator (Brokerage - AML)

Job Description

{"title":"GFC Investigator (Brokerage - AML)","company_name":"Bank of America","location":"Phoenix, AZ (+5 others)","via":"Bank Of America Careers","job_highlights":[{"title":"Qualifications","items":["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)","Fraud Management","Risk Management","Coaching","Issue Management","Talent Development","Critical Thinking","Written Communications","Regulatory Compliance","Investigation Management","AML Regulatory Knowledge","Case Investigation & Resolution","Enhanced Due Diligence","Financial Crimes Risk Programs","High Risk Activities & Typologies","Products, Services and Acumen- Global Financial Crimes","Risk Identification & Assessment","Risk Governance & Reporting"]},{"title":"Responsibilities","items":["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","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","Policies, Procedures, and Guidelines Management","Customer Due Diligence"]}],"share_link":"https://www.google.com/search?ibp=htl;jobs&q=AML+Compliance&htidocid=5o8Z1cO5wleS6KNFAAAAAA%3D%3D&hl=en-US&shem=epsd1,rimspwouoe&shndl=37&shmd=H4sIAAAAAAAA_xXFsQrCMBAAUFz7CQ5yo4o2IjioUytYFAVnl3INZxJtcyV3SD_Fz1WX97LPKNtWxwOc4ptEg0PlBNMy8YsSOoIlFNfL7NeZGxDCZD1whIrZtTTee9VedsaItLkTRQ02t9wZjtTwYJ7cyJ9aPCbqW1Sq15vVkPfRzSclxhfwA4qOUrAIIcLNM8UwLKC4fwE5mxkMmwAAAA&shmds=v1_ARwrE20ereqpcl1W0cgU3pmqIqqlWjeq9gllmqHARaIY5Wapag&source=sh/x/job/li/m1/1#fpstate=tldetail&htivrt=jobs&htiq=AML+Compliance&htidocid=5o8Z1cO5wleS6KNFAAAAAA%3D%3D","extensions":["3 days ago","Full-time"],"detected_extensions":{"posted_at":"3 days ago","schedule_type":"Full-time"},"source_link":"https://careers.bankofamerica.com/en-us/job-detail/26034125/gfc-investigator-brokerage-aml-multiple-locations","job_title":"GFC Investigator (Brokerage - AML)","description":"Job Description:\n\n\n\n\n\nAt Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. We do this by driving Responsible Growth and delivering for our clients, teammates, communities and shareholders every day.\n\nBeing a Great Place to Work is core to how we drive Responsible Growth. This includes our commitment to being an inclusive workplace, attracting and developing exceptional talent, supporting our teammates’ physical, emotional, and financial wellness, recognizing and rewarding performance, and how we make an impact in the communities we serve.\n\nBank of America is committed to an in-office culture with specific requirements for office-based attendance and which allows for an appropriate level of flexibility for our teammates and businesses based on role-specific considerations.\n\nAt Bank of America, you can build a successful career with opportunities to learn, grow, and make an impact. Join us!\n\n\n\nThe 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\n\n\nResponsibilities:\n\nCompletes investigations while overseeing cases meet or exceed closure and quality metricsCompletes Suspicious Activity Reports (SAR) in a timely and accurate manner for submission to regulators and/or law enforcementReports 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 investigationsPerforms quality control functions, training, communications, guidance, monitoring scenario development/enhancement input and testing, or law enforcement liaison responsibilities in an investigative support role​\n\nRequired Qualifications: \n\nMinimum of five years of relevant experienceUnderstanding 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 TransferSuspicious Activity Reporting (SAR)Stakeholder Management (FLU, Business Controls, Risk)Understanding of Rules, Regulations, and Compliance (FINRA/SEC)\n\nDesired Qualifications: \n\nBachelor's Degree in related fieldExperience in financial services and/or a related government entityCertified Anti-Money Laundering Specialist (CAMS)Data Management, Review, and AnalysisFINRA 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 \n\nSkills:\n\nFraud ManagementPolicies, Procedures, and Guidelines ManagementReportingRisk ManagementCoachingIssue ManagementTalent DevelopmentCritical ThinkingWritten CommunicationsData AnalysisRegulatory ComplianceInvestigation Management\nTechnical Skills:\n\nAML Regulatory KnowledgeCase Investigation & ResolutionCustomer Due Diligence Enhanced Due DiligenceFinancial Crimes Risk ProgramsHigh Risk Activities & TypologiesProducts, Services and Acumen- Global Financial Crimes Risk Identification & Assessment Risk Governance & Reporting\n\n\n\nShift:\n\n1st shift (United States of America)\n\n\n\nHours Per Week: \n\n40","apply_options":[{"title":"Bank Of America Careers","link":"https://careers.bankofamerica.com/en-us/job-detail/26034125/gfc-investigator-brokerage-aml-multiple-locations?utm_campaign=google_jobs_apply&utm_source=google_jobs_apply&utm_medium=organic"},{"title":"LinkedIn","link":"https://www.linkedin.com/jobs/view/gfc-investigator-brokerage-aml-at-bank-of-america-4468829455?utm_campaign=google_jobs_apply&utm_source=google_jobs_apply&utm_medium=organic"},{"title":"ZipRecruiter","link":"https://www.ziprecruiter.com/c/bank-of-america/Job/GFC-Investigator-(Brokerage-AML)/-in-Jacksonville,FL?jid=93a6b0235c34da5b&utm_campaign=google_jobs_apply&utm_source=google_jobs_apply&utm_medium=organic"},{"title":"BeBee","link":"https://bebee.com/us/jobs/gfc-investigator-brokerage-aml-bank-of-america-na-canada-jacksonville--t7xk-791443726?utm_campaign=google_jobs_apply&utm_source=google_jobs_apply&utm_medium=organic"},{"title":"Talents By Vaia","link":"https://talents.vaia.com/companies/bank-of-america/jacksonville/gfc-investigator-brokerage-aml-112184986/?utm_campaign=google_jobs_apply&utm_source=google_jobs_apply&utm_medium=organic"},{"title":"EarnBetter","link":"https://earnbetter.com/app/job/01KWK1XVWT5D1Y7A7Q9HA9GKGR/?utm_campaign=google_jobs_apply&utm_source=google_jobs_apply&utm_medium=organic"},{"title":"The Muse","link":"https://wtop.themuse.com/jobs/bankofamerica/gfc-investigator-brokerage-aml-b8930e?utm_campaign=google_jobs_apply&utm_source=google_jobs_apply&utm_medium=organic"},{"title":"Expertini","link":"https://us.expertini.com/job/gfc-investigator-brokerage-aml-jacksonville-bank-of-america-773f8412dcf444b6b94facb9949e80ce105/?utm_campaign=google_jobs_apply&utm_source=google_jobs_apply&utm_medium=organic"}],"job_id":"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"}