GFC Investigator – Brokerage, AML

Bank of America

. Perform end-to-end investigations across relevant lines of business, focused on Special Investigations, Global Markets, or Global Wealth and Investment Management .

Posted 10/21/2026full-timeUnited StatesMid-LevelSenior💰 $68,500 - $102,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in conducting complex investigations related to financial crimes, including fraud and money laundering, while ensuring compliance with regulatory standards. Proficient in stakeholder management and reporting, with a strong understanding of retail brokerage products and services.

Highest-signal resume keywords

Complex InvestigationsSuspicious Activity Reporting (SAR)Stakeholder ManagementAML Regulatory KnowledgeFraud Management

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Data ManagementRisk Identification & AssessmentCustomer Due DiligenceEnhanced Due DiligenceFinancial Crimes Risk ProgramsInvestigation ManagementRegulatory ComplianceReportingCritical ThinkingData Analysis

Soft Skills

Written CommunicationsCoachingIssue ManagementTalent Development

Certifications & Qualifications

Certified Anti-Money Laundering Specialist (CAMS)FINRA Securities Essential ExamFINRA Series 7FINRA Series 6FINRA Services Principal Licensure (Series 4, 24, 53, 9/10)

Industry Keywords

Retail Brokerage ProductsEquitiesFixed Income ProductsStructured InvestmentsSecuritized ProductsMutual FundsDiscretionary Trading ProductsAlternative InvestmentsGlobal Financial CrimesCompliance (FINRA/SEC)

About the role

Key responsibilities & impact

Perform end-to-end investigations across relevant lines of business, focused on Special Investigations, Global Markets, or Global Wealth and Investment Management
Conduct complex investigations involving external-party fraud, securities fraud, money laundering, or terrorist financing
Complete investigations while meeting or exceeding closure and quality metrics
Complete Suspicious Activity Reports (SAR) accurately and on time for regulators and/or law enforcement
Report investigation facts to identify potential operational or compliance risks
Partner with GFCC Risk Management, Front Line Units, Global Financial Crimes Management, and other stakeholders to resolve investigations
Perform quality control, training, communications, guidance, monitoring scenario development/enhancement input and testing, or law enforcement liaison responsibilities
Report to investigations teams responsible for coverage over Special Investigations, Global Markets, or Global Wealth and Investment Management

Requirements

What you’ll need

Minimum of five years of relevant experience
Understanding of Retail Brokerage Products, Clients, and Services, including 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, or ACAT Transfer
Suspicious Activity Reporting (SAR)
Stakeholder Management (FLU, Business Controls, Risk)
Understanding of Rules, Regulations, and Compliance (FINRA/SEC)
Bachelor's Degree in related field (desired)
Experience in financial services and/or a related government entity (desired)
Certified Anti-Money Laundering Specialist (CAMS) (desired)
Data Management, Review, and Analysis (desired)
FINRA Services Principal Licensure (Series 4, 24, 53, 9/10) (desired)
Knowledge of Alternative Investments, including Private Equity and Venture Capital (desired)
Familiarity with Discretionary Trading Products (desired)
Skills in Fraud Management, Policies, Procedures, and Guidelines Management, Reporting, Risk Management, Coaching, Issue Management, Talent Development, Critical Thinking, Written Communications, Data Analysis, Regulatory Compliance, and Investigation Management
Technical skills in AML Regulatory Knowledge, Case Investigation & Resolution, Customer Due Diligence, Enhanced Due Diligence, Financial Crimes Risk Programs, High Risk Activities & Typologies, Global Financial Crimes products and services, Risk Identification & Assessment, and Risk Governance & Reporting
1st shift, United States of America
Ability to work 40 hours per week

Benefits

Comp & perks

Discretionary incentive eligible; eligible to participate in the annual discretionary plan
Benefits eligible
Paid time off
Resources and support for employees
In-office culture with role-specific flexibility