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Financial Crimes Compliance Specialist

2 months ago

Chicago, Illinois, United States Bank of America Full time

Financial Crimes Compliance Specialist - Brokerage

Location: Various Locations

Job Overview:

At Bank of America, we are driven by a shared mission to enhance financial well-being through every connection we foster. Our commitment to Responsible Growth shapes our operations and defines how we serve our clients, colleagues, communities, and shareholders daily.

Creating a supportive and inclusive environment for our employees globally is crucial to our success. We are dedicated to diversity and inclusion, hiring individuals from various backgrounds and experiences, and we invest significantly in our employees and their families by providing competitive benefits that promote their physical, emotional, and financial health.

Bank of America values collaboration while also offering flexibility tailored to the diverse roles within our organization.

Joining Bank of America means embarking on a rewarding career with opportunities for learning, growth, and impactful contributions, along with the ability to effect positive change.

Key Responsibilities:

This position entails conducting comprehensive investigations or providing investigative support related to external financial crimes across multiple business lines. The primary duties include:

  • Executing routine to complex investigations involving fraud perpetrated by external entities, money laundering, or terrorist financing.
  • Acting as a liaison with law enforcement when necessary.
  • Ensuring investigations meet or surpass closure and quality standards.
  • Reporting investigation findings to help identify potential operational or compliance risks.
  • Timely and accurately completing Suspicious Activity Reports (SAR) for submission to regulatory bodies and/or law enforcement.
  • Collaborating with GFC Risk Management, frontline units, or other stakeholders to resolve investigations.

Additional activities may include:

  • Performing quality control functions and providing training and guidance.
  • Monitoring scenario development and enhancement input.
  • Engaging in law enforcement liaison responsibilities within an investigative support capacity.

Required Qualifications:

  • A minimum of 1 year of experience in Fraud, AML, Risk, or Compliance, with knowledge of financial crime typologies.
  • A Bachelor's degree or 5 years of equivalent work experience in fields such as financial services, fraud, investigative services, or law enforcement.
  • Understanding of BSA in relation to AML or Fraud, along with general knowledge of AML typologies/red flags.
  • Proficiency in Microsoft Excel and data analytics.
  • Ability to analyze and report independently as a self-starter.
  • Capability to analyze and manipulate extensive data sets.
  • Experience interacting with Front Line Units and Customers/Clients.

Preferred Qualifications:

  • Familiarity with retail and/or institutional brokerage products and services, including relevant compliance regulations.
  • Experience in securities trading involving equities, bonds, options, and futures contracts.
  • Knowledge of transaction analysis related to FINRA Red Flags and associated risks.
  • Expertise in research areas such as ACAT Transfers/Rejections and special handling.
  • Experience in Back Office/Front Office roles, including security and margin reconciliation.
  • Certifications such as ACAMS (Association of Certified Anti-Money Laundering Specialists) are advantageous.
  • Possession of a FINRA Series license is welcomed but not mandatory.

Essential Skills:

  • Critical Thinking
  • Fraud Management
  • Regulatory Compliance
  • Effective Written Communication
  • Investigation Management
  • Policy and Procedure Management
  • Reporting
  • Risk Management
  • Coaching and Talent Development
  • Issue Management

Shift: 1st shift (United States of America)

Hours Per Week: 40

Bank of America and its affiliates are committed to equal employment opportunities and affirmative action, ensuring that all qualified candidates are considered for employment without regard to race, religion, gender, sexual orientation, age, national origin, or any other factor prohibited by law.