GFC Investigator (Brokerage - AML/Fraud)
Jacksonville, Florida;Tampa, Florida
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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!
The Global Financial Crimes Compliance (GFCC) Investigator performs end-to-end investigations across one or more lines of business relevant to the Investigators specific area of responsibility, specifically focused on Special Investigations, Global Markets, or Global Wealth and Investment Management. In the investigative role, the Investigator conducts complex investigations, including fraud committed by external parties, securities fraud, money laundering, or terrorist financing. Responsibilities for this role include completing investigations while ensuring cases meet or exceed closure and quality metrics, reporting facts of the investigation to assist in identifying potential operational or compliance risks, and completing Suspicious Activity Reports (SAR) in a timely and accurate manner for submission to regulators and/or law enforcement. This role may partner with GFCC Risk Management, front line units or other stakeholders to resolve investigations. This role ultimately reports to investigations teams responsible for coverage over Special Investigations, Global Markets, or Global Wealth and Investment Management
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
Bank of America and its affiliates consider for employment and hire qualified candidates without regard to race, religious creed, religion, color, sex, sexual orientation, genetic information, gender, gender identity, gender expression, age, national origin, ancestry, citizenship, protected veteran or disability status or any factor prohibited by law, and as such affirms in policy and practice to support and promote the concept of equal employment opportunity, in accordance with all applicable federal, state, provincial and municipal laws. The company also prohibits discrimination on other bases such as medical condition, marital status or any other factor that is irrelevant to the performance of our teammates.
View your "Know your Rights (https://www.eeoc.gov/sites/default/files/2023-06/22-088\EEOC\KnowYourRights6.12.pdf) " poster.
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Bank of America aims to create a workplace free from the dangers and resulting consequences of illegal and illicit drug use and alcohol abuse. Our Drug-Free Workplace and Alcohol Policy ("Policy") establishes requirements to prevent the presence or use of illegal or illicit drugs or unauthorized alcohol on Bank of America premises and to provide a safe work environment.
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. Should you be offered a role with Bank of America, your hiring manager will provide you with information on the in-office expectations associated with your role. These expectations are subject to change at any time and at the sole discretion of the Company. To the extent you have a disability or sincerely held religious belief for which you believe you need a reasonable accommodation from this requirement, you must seek an accommodation through the Bank's required accommodation request process before your first day of work.
This communication provides information about certain Bank of America benefits. Receipt of this document does not automatically entitle you to benefits offered by Bank of America. Every effort has been made to ensure the accuracy of this communication. However, if there are discrepancies between this communication and the official plan documents, the plan documents will always govern. Bank of America retains the discretion to interpret the terms or language used in any of its communications according to the provisions contained in the plan documents. Bank of America also reserves the right to amend or terminate any benefit plan in its sole discretion at any time for any reason.
