GFC Investigator (Brokerage - AML)

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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

• →Minimum of five years of relevant experience
• →Understanding of Retail Brokerage Products, Clients, and Services, such as 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 the areas of 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
• Experience in financial services and/or a related government entity
• Certified Anti-Money Laundering Specialist (CAMS)
• Data Management, Review, and Analysis
• FINRA Services Principal Licensure (Series 4, 24, 53,9/10)
• Certified Anti-Money Laundering Specialist (CAMS)
• Knowledge of Alternative Investments ( Private Equity, Venture Capital, etc.)
• Familiarity with Discretionary Trading Products 

Skills:

• Fraud Management
• Policies, Procedures, and Guidelines Management
• Reporting
• Risk Management
• Coaching
• Issue Management
• Talent Development
• Critical Thinking
• Written Communications
• Data Analysis
• Regulatory Compliance
• Investigation Management