Global Financial Crimes Compliance

1 week ago

Charlotte, United States Bank of America Full time
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. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.

One of the keys to driving Responsible Growth is being a great place to work for our teammates around the world. We're devoted to being a diverse and inclusive workplace for everyone. We hire individuals with a broad range of backgrounds and experiences and invest heavily in our teammates and their families by offering competitive benefits to support their physical, emotional, and financial well-being.

Bank of America believes both in the importance of working together and offering flexibility to our employees. We use a multi-faceted approach for flexibility, depending on the various roles in our organization.

Working at Bank of America will give you a great career with opportunities to learn, grow and make an impact, along with the power to make a difference. Join us

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.

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 GFC 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.

Activities performed by this role may include, but are not limited to:
• Completes investigations while ensuring cases meet or exceed closure and quality metrics
• Reports facts of the investigation to assist in identifying potential operational or compliance risks
• Completes Suspicious Activity Reports ("SAR") in a timely and accurate manner for submission to regulators and/or law enforcement
• Partners with GFC Management, front line units ("FLU") or other stakeholders 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.

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 1 or more years' experience with Fraud, AML, Risk, or Compliance experience and/or knowledge of financial crimes typologies
• Bachelor's degree or 5 or more years equivalent work experience in areas such as financial services, fraud, investigative service or law enforcement
• BSA knowledge relative to AML or Fraud as well as general understanding of AML typologies/red flags
• Proficiency in Microsoft Excel / data analytics
• Self-starter capable of analyzing and reporting independently
• Ability to analyze and manipulate large data sets
• Interaction with Front Line Units & Customers/Clients

Preferred Qualifications
• Knowledge related to retail and/or institutional brokerage products and services and applicable compliance rules and regulations.
• Securities trading experience in equities, bonds, options, futures contracts
• Transaction analysis and how it relates to FINRA Red Flags and associated risk
• Knowledgeable in the areas of research: ACAT Transfers/ Rejections, Special handling, and transfers between category types (Type 1 = cash, Type 2 = Margin, Type 3 = Short, etc. )
• Back Office/ Front Office Experience, including security reconciliation, Margin reconciliation, securities processing/ master.
• Securities trading experience in equities, bonds, options, futures contracts
• Certifications: ACAMS - Association of Certified Anti-Money Laundering Specialists
• FINRA Series license welcomed but not required.

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


Shift:
1st shift (United States of America)

Hours Per Week:
40

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