Global Financial Crimes Senior Investigator (Brokerage)
$90,000–$115,000 year
On-site · Chicago, Illinois, United States or Charlotte, North Carolina, United States
Job Summary
Senior-level investigator responsible for end-to-end investigations of external financial crimes activities across lines of business, including fraud, money laundering and terrorist financing; provides coaching, ensures case quality, collaborates with regulators and law enforcement, and supports improvements to investigation processes. Requires strong knowledge of investments/securities products, AML/Compliance experience, FINRA licenses (SIE/Series 7), and proficiency in Excel.
Required Qualifications
- Minimum 5 years of relevant financial crimes investigations experience, including investment experience/work and/or strong knowledge of investments/securities products and services
- FINRA licenses including the SIE or Series 7 at minimum, or related experience
- Knowledge related to retail and/or institutional brokerage products and services and applicable compliance rules and regulations
- Prior anti-money laundering / financial crimes investigation experience in a financial institution or government position
- 1+ years of AML/Compliance experience and or knowledge of AML typologies/risk
- Proficiency in Microsoft Excel
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