Global Financial Crimes Senior Investigator (Brokerage)

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This job is responsible for performing end-to-end investigations or investigations support functions of external financial crimes activities across one or more lines of business. Key responsibilities include conducting routine to complex investigations, including fraud committed by external parties, money laundering, or terrorist financing and acting as the liaison to Law Enforcement as required. Job expectations include providing coaching and inputs to investigators to improve case quality, ensure all cases are sufficiently investigated and findings are adequately documented.

Responsibilities:

• Reviews, analyzes, and makes recommendations on investigations, while identifying enhancements to ensure cases meet or exceed closure and quality metrics
• Reviews 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
• Supports the identification of improvements to the investigations and case assignment processes to enhance the effectiveness of investigative procedures
• Participates in the case assignment process to distribute work across the investigative team

Skills:

• Coaching
• Fraud Management
• Quality Assurance
• Regulatory Compliance
• Investigation Management
• Policies, Procedures, and Guidelines Management
• Risk Management
• Issue Management
• Reporting
• Written Communications

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

Required Qualifications: 

• Minimum 5 years of relevant financial crimes investigations experience, including investment experience/work and/or strong knowledge of investments/securities products and services
• FINRA licenses including the SIE or Series 7 at minimum, or related experience
• Knowledge related to retail and/or institutional brokerage products and services and applicable compliance rules and regulations
• Prior anti-money laundering / financial crimes investigation experience in a financial institution or government position
• 1+ years of AML/Compliance experience and or knowledge of AML typologies/risk
• Proficiency in Microsoft Excel is needed

Desired Qualifications: 

• Bachelor's Degree in related field
• Experience in financial services and/or a related government entity 
• Certifications: ACAMS – Association of Certified Anti-Money Laundering Specialists​ 

Shift:

1st shift (United States of America)

Hours Per Week: 

40