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Senior Investigator for Financial Compliance Operations

2 months ago

Quincy, Massachusetts, United States State Street Corporation Full time
Position Overview
The Senior Investigator for Financial Compliance Operations plays a crucial role in supporting the Financial Intelligence Unit (FIU) within the organization. This team is dedicated to the comprehensive oversight of potentially suspicious transactions and anti-money laundering (AML) inquiries.

The Senior Investigator operates autonomously on tasks aligned with established protocols and seeks guidance from senior personnel when policy clarifications or exceptions are necessary. Additionally, this role may involve mentoring less experienced team members.

Key Responsibilities
As a Senior Investigator, your responsibilities will include:
  • Conducting thorough investigations with a solid grasp of financial instruments such as cash flows, bonds, mutual funds, stocks, options, hedge funds, and other investment vehicles.
  • Serving as a subject matter expert in discussions regarding securities, broker-dealer money laundering, market manipulation, and other financial crime-related matters.
  • Creating detailed investigation reports and recommending appropriate actions.
  • Investigating violations of securities regulations and compliance issues.
  • Managing assigned investigations to ensure timely recommendations and reports are submitted to management.
  • Coordinating extensive research and documentation in response to detected unusual activities.
  • Providing strategic recommendations to senior management aimed at mitigating risks associated with money laundering and market abuse.
  • Delivering effective presentations to diverse audiences, demonstrating strong analytical and problem-solving skills.
  • Assisting in the training and development of new team members.
  • Fostering a collaborative and positive team environment.
  • Building strong relationships with various business units.
Qualifications
The ideal candidate will possess:
  • A comprehensive understanding of AML typologies related to cash and investment risks.
  • Experience in utilizing data analytics for system reviews.
  • Knowledge of the securities industry and its operations.
  • A strong background in investment products including bonds, mutual funds, stocks, options, and hedge funds.
  • 5-7 years of relevant experience in AML compliance or securities.
  • A Bachelor's degree in business, accounting, finance, or economics.
  • ACAMS Certification is preferred.
  • Proficiency in Microsoft Office applications.
What We Offer
We provide a comprehensive benefits package that includes:
  • Medical and dental coverage
  • Flexible spending accounts
  • Employee assistance programs
  • Paid time off
  • Opportunities for professional development
About State Street Corporation
State Street is a leading provider of financial services, dedicated to helping institutional investors manage risk and enhance performance. We pride ourselves on fostering an inclusive environment that values diverse backgrounds and experiences, allowing our employees to thrive.