Bank of America
Overview
GFC Investigator (Brokerage - AML/Fraud) role at Bank of America. Job Description: At 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. Being 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. Bank 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. At Bank of America, you can build a successful career with opportunities to learn, grow, and make an impact. Join us! Responsibilities
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 Required Qualifications
Minimum 5 years' experience in financial products & services 1 year experience with AML, Risk, or Compliance experience and/or knowledge of financial crimes typologies FINRA licenses including the SIE or Series 7 at minimum, or related experience Demonstrates an understanding of introducing broker and institutional Brokerage Services, and or alternative investments/large portfolio management Knowledge related to retail and/or institutional brokerage products and services and applicable compliance rules and regulations BSA knowledge relative to AML or Fraud Proficiency in Microsoft Excel / data analytics Self-starter capable of analyzing and reporting independently Communications, attention to detail, research/investigative knowledge Desired Qualifications
Series 4, Series 24 licenses preferred Ability to analyze and manipulate large data sets Interaction with Front Line Units & Customers/Clients Bachelor's Degree in related field Experience in financial services and/or a related government entity Certified Anti-Money Laundering Specialist (CAMS) Skills
Critical Thinking Fraud Management Regulatory Compliance Written Communications Investigation Management Policies, Procedures, and Guidelines Management Reporting Risk Management Coaching Issue Management Talent Development Preferred Technical Skills
Risk Identification & Assessment Line of Business (LoB) Products, Services & Acumen Risk Governance & Reporting Financial Crimes Risk Programs Enhanced Due Diligence Customer Due Diligence Regulatory Knowledge Case Investigations & Resolution High Risk Activities & Typologies Trading & Transaction Patterns (inc. Transaction Monitoring) Shift
1st shift (United States of America) Hours Per Week
40 Seniority level
Mid-Senior level Employment type
Full-time Job function
Other, Information Technology, and Management Industries: Banking Location: Dallas, TX
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GFC Investigator (Brokerage - AML/Fraud) role at Bank of America. Job Description: At 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. Being 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. Bank 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. At Bank of America, you can build a successful career with opportunities to learn, grow, and make an impact. Join us! Responsibilities
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 Required Qualifications
Minimum 5 years' experience in financial products & services 1 year experience with AML, Risk, or Compliance experience and/or knowledge of financial crimes typologies FINRA licenses including the SIE or Series 7 at minimum, or related experience Demonstrates an understanding of introducing broker and institutional Brokerage Services, and or alternative investments/large portfolio management Knowledge related to retail and/or institutional brokerage products and services and applicable compliance rules and regulations BSA knowledge relative to AML or Fraud Proficiency in Microsoft Excel / data analytics Self-starter capable of analyzing and reporting independently Communications, attention to detail, research/investigative knowledge Desired Qualifications
Series 4, Series 24 licenses preferred Ability to analyze and manipulate large data sets Interaction with Front Line Units & Customers/Clients Bachelor's Degree in related field Experience in financial services and/or a related government entity Certified Anti-Money Laundering Specialist (CAMS) Skills
Critical Thinking Fraud Management Regulatory Compliance Written Communications Investigation Management Policies, Procedures, and Guidelines Management Reporting Risk Management Coaching Issue Management Talent Development Preferred Technical Skills
Risk Identification & Assessment Line of Business (LoB) Products, Services & Acumen Risk Governance & Reporting Financial Crimes Risk Programs Enhanced Due Diligence Customer Due Diligence Regulatory Knowledge Case Investigations & Resolution High Risk Activities & Typologies Trading & Transaction Patterns (inc. Transaction Monitoring) Shift
1st shift (United States of America) Hours Per Week
40 Seniority level
Mid-Senior level Employment type
Full-time Job function
Other, Information Technology, and Management Industries: Banking Location: Dallas, TX
#J-18808-Ljbffr