Overview In this role you will conduct end-to-end investigations of external financial crimes across multiple lines of business. You'll coach investigators, drive case quality, and ensure timely, well-documented findings for regulators and law enforcement. You'll collaborate with Global Financial Crimes and frontline units to resolve cases and implement process improvements. This position offers exposure to complex AML and fraud typologies within a leading financial services firm. The role appeals to hands-on investigators who shape risk management and compliance outcomes.
Compensation / Benefits- benefits eligible
- annual discretionary incentive
- paid time off
- professional development opportunities
- competitive compensation
- flexible work arrangements
Responsibilities- Conduct end-to-end investigations of external financial crimes across lines of business
- Review and analyze cases, recommending enhancements to meet quality metrics
- Review Suspicious Activity Reports (SAR) for regulators and law enforcement
- Report investigation findings to senior stakeholders and coordinate with GFC/FLU
- Perform quality control, training, and scenario development roles in investigations
- Identify process improvements to investigation and case assignment workflows
- Participate in case assignment to balance workload across the team
Key requirements- Minimum 5 years of relevant financial crimes investigations experience (investment experience or knowledge of investments/securities)
- FINRA licenses including SIE or Series 7 at minimum or related experience
- Knowledge of retail and/or institutional brokerage products and applicable compliance rules
- Prior AML/financial crimes investigation experience in a financial institution or government role
- 1+ year of AML/compliance experience or knowledge of AML typologies/risk
- Proficiency in Microsoft Excel
- Coaching
- Written communications
- Stakeholder management
- Risk Identification & Assessment
- LoB Products, Services & Acumen
- Risk Governance & Reporting
