GFC Investigator

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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.

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

Skills:

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

GFC Investigator Job Description

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.

The Global Financial Crimes Compliance (GFCC) Investigator performs end-to-end investigations across one or more lines of business relevant to the Investigators specific area of responsibility. In the investigative role, the Investigator conducts routine to complex investigations, including fraud committed by external parties, money laundering, or terrorist financing.

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 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 crimes, including financial crimes investigations management, fraud management, regulatory compliance, risk management, or issue management
• 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
• Experience in manual report writing (compliance reporting, regulatory reporting, SARs reports)
• Proficiency with writing Policies, Procedures, and Guidelines Management
• Knowledge of criminal typologies and experience investigating financial crimes
• Knowledge of global markets, banking and investment banking businesses, and related financial crimes risks
• Excellent written and oral communication skills, including the ability to distill a complicated fact pattern into a coherent and concise narrative
• Strong command in English (written and spoken)
• Proficiency with MS Office programs and ability to quickly learn proprietary technology applications
• Experience analyzing large amounts of data, intelligence and information in order to detect suspicious activity
• Ability to work in a high energy environment and adhere to strict deadlines
• Be a team player, with ability to work independently
• Exercise discretion while prioritizing case work based upon management direction
• Ability to thoroughly analyze and make case related decisions with justification
• Experience using closed-sourced and open-sourced research channels

Preferred Technical Skills:

• Risk Identification & Assessment
• Line of Business (LoB) Products, Services & Acumen
• Risk Governance & Reporting
• Financial Crimes Risk Programs
• Enhanced Due Diligence
• Regulatory Knowledge
• Case Investigations & Resolution
• High Risk Activities & Typologies
• Trading & Transaction Patterns (inc. Transaction Monitoring)
• Financial Crimes Compliance Risk Principles

Desired Qualifications:

• Bachelor's Degree in related field
• Experience in financial services and/or a related government entity
• Certified Anti-Money Laundering Specialist (CAMS)
• Knowledge of anti-money laundering (AML) regulation and guidance for broker-dealers
• SIE, Series 3, Series 4, Series 7, and/or Series 24 licenses
• Experience interacting with Front Line Units & Customers/Clients
• Knowledge of FICC or Equity products and services and/or Prime Brokerage
• Law enforcement background
• Excellent written and verbal communication skills
• Self-starter capable of analyzing and reporting independently
• Critical thinker who is intellectually curious

Skills:

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

Shift:

Hours Per Week: