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GFC Investigator, Brokerage – AML
Bank of America. Conduct end-to-end investigations across relevant lines of business, focused on Special Investigations, Global Markets, or Global Wealth and Investment Management .
Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in conducting complex investigations related to fraud, money laundering, and compliance within financial services. Proficient in preparing Suspicious Activity Reports and collaborating with stakeholders to mitigate operational risks.
Highest-signal resume keywords
Complex InvestigationsSuspicious Activity Reporting (SAR)Stakeholder ManagementUnderstanding of Rules, Regulations, and ComplianceFINRA Securities Essential Exam/FINRA Series 7
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Fraud InvestigationData ManagementReview and AnalysisFinancial Services KnowledgeRetail Brokerage Products UnderstandingAlternative Investments KnowledgeDiscretionary Trading Products FamiliarityQuality ControlOperational Risk IdentificationClosure and Quality Metrics
Soft Skills
CommunicationTrainingMonitoringGuidance
Certifications & Qualifications
Certified Anti-Money Laundering Specialist (CAMS)FINRA Services Principal Licensure (Series 4, 24, 53, 9/10)
Industry Keywords
Global MarketsGlobal Wealth and Investment ManagementSecurities FraudMoney LaunderingTerrorist FinancingPersonal Holding CompaniesRetirement AccountsTrust AccountsStructured InvestmentsMutual Funds
About the role
Key responsibilities & impact- Conduct 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 submission to 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/enhancement input and testing, or law enforcement liaison responsibilities
- Report to investigations teams covering 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, 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)
- First shift availability in the 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
- Access to paid time off
- Resources and support to employees
- In-office culture with role-specific flexibility