AML Investigator

3 weeks ago

Smithfield, United States Fidelity Investments Full time
Job Description:

Job Description:

AML Investigators are responsible for providing sophisticated financial analysis, investigating incidents of possible money laundering; terrorist financing; insider trading; securities fraud; market manipulation; suspected theft or embezzlement and customer fraud.

The Team

AML Investigations is part of the Financial Intelligence Unit (FIU) and Legal, Regulatory and Compliance (LRC) teams. LRC strives to protect Fidelity's businesses, clients, customers and reputation by providing effective and timely analytical and investigative services, enabling us to provide the optimal balance of risk management and customer experience.

AML Investigations is a specialized group responsible for investigating cases of suspicious activity and when necessary filing Suspicious Activity Reports (SARs) with FinCEN (Financial Crimes Enforcement Network) a bureau of the US Treasury, whose mission is to safeguard the financial system through the collection, analysis, and dissemination of financial intelligence. The unit maintains key business partner relationships with Fidelity's Financial Crimes Compliance Program Office (FCPO) as well as with regulatory entities and various law enforcement agencies.

The Expertise You Have
  • College degree and/or 8 - 10 years work experience in a relevant field.
  • 2+ years of experience in the financial services industry.
  • Previous Risk Management/Compliance/Anti-Money Laundering experience a plus.
  • Detailed knowledge of brokerage operations.
  • FINRA Series 7 preferred.
  • Working knowledge of Fidelity systems a plus.
The Skills You Bring
  • An understanding of the financial services industry and its corresponding products.
  • Proven interpersonal skills; ability to work well in a small, collaborative team, while also communicating and interacting with senior executives.
  • Strong communications skills (both written and oral).
  • Familiar with AML laws and regulations.
  • Require minimal direction and supervision as there will be a significant level of decision making.
The Value You Deliver
  • Investigating and identifying incidents of possible suspicious activity.
  • Protecting Fidelity and its customers.
  • Ensuring Fidelity is fulfilling its regulatory requirements with regards to AML.
  • Supporting AMLO efforts in order to maintain an effective AML Program.


Certifications:

Category:

Security

Fidelity's working model blends the best of working offsite with maximizing time together in person to meet associate and business needs. Currently, most hybrid roles require associates to work onsite all business days of one assigned week per four-week period (beginning in September 2024, the requirement will be two full assigned weeks).