GFC Investigator – Brokerage, AML

Bank of America

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

Posted 9/17/2026full-timeCharlotte • Arizona • United StatesMid-LevelSeniorWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in conducting complex investigations related to fraud, money laundering, and compliance within financial services, while effectively managing stakeholder relationships and ensuring accurate reporting to regulators. Proficient in data management and analysis, with a strong understanding of relevant financial products and regulations.

Highest-signal resume keywords

Complex InvestigationsSuspicious Activity Reporting (SAR)Stakeholder ManagementFINRA/SEC ComplianceData Management and Analysis

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Fraud InvestigationMoney Laundering AnalysisSecurities Fraud InvestigationRetail Brokerage Products KnowledgeData ReviewFinancial Services ExperienceAlternative Investments KnowledgeDiscretionary Trading Products FamiliarityQuality ControlOperational Risk Identification

Soft Skills

CommunicationCollaborationTrainingGuidanceMonitoring

Certifications & Qualifications

FINRA Securities Essential ExamFINRA Series 7FINRA Series 6FINRA Services Principal LicensureCertified Anti-Money Laundering Specialist (CAMS)

Industry Keywords

Special InvestigationsGlobal MarketsGlobal Wealth and Investment ManagementEquitiesFixed Income ProductsStructured InvestmentsSecuritized ProductsMutual FundsMarginACAT Transfer

About the role

Key responsibilities & impact

Conduct end-to-end investigations across relevant lines of business, focusing 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 senior stakeholders to help identify operational or compliance risks
Partner with GFCC Risk Management, Front Line Units, and other stakeholders to resolve investigations
Perform quality control, training, communications, guidance, monitoring scenario development and 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 related entity structures
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 FINRA/SEC rules, regulations, and compliance
Experience in financial services and/or a related government entity
Data Management, Review, and Analysis
FINRA Services Principal Licensure (Series 4, 24, 53, 9/10)
Knowledge of Alternative Investments, including Private Equity and Venture Capital
Familiarity with Discretionary Trading Products
Certified Anti-Money Laundering Specialist (CAMS) listed as a desired qualification
Bachelor’s Degree in related field listed as a desired qualification

Benefits

Comp & perks

Commitment to an inclusive workplace
Opportunities to learn, grow, and make an impact
Support for teammates’ physical, emotional, and financial wellness
Recognition and rewarding of performance
In-office culture with an appropriate level of flexibility based on role-specific considerations