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 .

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

Core Competencies

Role fit

Core 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 risks within financial services. Proficient in Suspicious Activity Reporting and stakeholder management, with a strong understanding of retail brokerage products and regulatory requirements.

Highest-signal resume keywords

Suspicious Activity Reporting (SAR)FINRA Securities Essential Exam/Series 7Stakeholder ManagementUnderstanding of Rules, Regulations, and Compliance (FINRA/SEC)Certified Anti-Money Laundering Specialist (CAMS)

ATS Keywords

Tailor your resume

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills

Complex InvestigationsFraud DetectionData ManagementFinancial AnalysisOperational Risk AssessmentQuality ControlRegulatory ReportingEntity Structure AnalysisAlternative Investments KnowledgeDiscretionary Trading Products Familiarity

Soft Skills

CommunicationCollaborationTrainingMonitoringGuidance

Certifications & Qualifications

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

Industry Keywords

Retail Brokerage ProductsEquitiesFixed Income ProductsStructured InvestmentsSecuritized ProductsMutual FundsPersonal Holding CompaniesRetirement AccountsTrust AccountsFinancial Services

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
Report investigation facts to identify potential operational or compliance risks
Complete Suspicious Activity Reports (SAR) accurately and on time for regulators and/or law enforcement
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, and Mutual Funds
Understanding of entity structures, including 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)
Experience in financial services and/or a related government entity
Knowledge of 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
Bachelor's Degree in related field (desired)
Certified Anti-Money Laundering Specialist (CAMS) (desired)

Benefits

Comp & perks

Inclusive workplace commitment
Opportunities to learn, grow, and make an impact
Support for teammates’ physical, emotional, and financial wellness
Recognition and rewards for performance
In-office culture with an appropriate level of role-specific flexibility