GFC Investigator (Brokerage - AML)
Core
Conducts end-to-end complex investigations into fraud, securities fraud, money laundering, and terrorist financing for Global Markets and Global Wealth and Investment Management.
Role type
Senior IC financial crimes investigator (AML/SAR)
Builds
Suspicious Activity Reports (SAR) and investigation closure documentation for regulators and law enforcement
Domain
Financial services / Anti-Money Laundering / Securities Compliance
Deliverable
client delivery
Required skills
Fraud investigation, Suspicious Activity Reporting (SAR), FINRA Securities Essential Exam (Series 7/6), Retail Brokerage Products knowledge, Regulatory Compliance (FINRA/SEC), Stakeholder Management
Preferred skills
CAMS certification, Alternative Investments knowledge, Discretionary Trading Products familiarity, Data Analysis
Technologies
ACAT Transfer, Margin systems, Entity structures (Trusts/Retirement)
Responsibilities
Completing investigations to meet closure and quality metrics, Reporting facts to senior stakeholders to identify operational risks, Partnering with Front Line Units to resolve investigations, Performing quality control and law enforcement liaison duties
Seniority
Mid-Senior, hands-on IC