Financial Crime Risk Investigator II – Securities

This is a fully remote position, open to applicants in Illinois, +3 more states.

📋 Description

• Carries out investigations of moderate complexity for both internal and external cases.

• Advises on the demarket and/or freezing of accounts by the relevant investigative unit.

• Performs adjudications of moderate complexity.

• May offer QA/review and mentorship to team members.

• Applies reasonable grounds for suspicion of money laundering and terrorist financing.

• Executes end-to-end investigations within the Securities domain.

• Responsible for overseeing a variety of internal and external investigations.

• Establishes reasonable grounds for suspecting money laundering and terrorist financing.

• Plays a role in mitigating financial crime risks and disrupting unlawful activities.

⛳️ Requirements

• Bachelor's degree or equivalent professional experience.

• Over 3 years of experience in a Broker-Dealer and/or Securities-related investigations role.

• Comprehensive knowledge of Securities products such as Fixed Income, Foreign Exchange, Prime Brokerage, Equities, Low Priced Securities, etc.

• Familiarity with market abuse typologies, including insider trading, market manipulation, front running, and layering/spoofing.

• Understanding of financial industry products, policies, and procedures pertaining to Institutional Clients, Broker-Dealers, and Securities-related Investigations.

• Awareness of regulatory requirements, including FINRA, SEC, and relevant AML/BSA regulations.

• Capability to manage multiple investigations concurrently while adhering to deadlines in a fast-paced environment.

• Strong critical thinking and problem-solving abilities with a keen attention to detail.

• Experience in reviewing trading activities, transaction patterns, and customer behaviors to detect potential misconduct or suspicious activities.

• Ability to analyze extensive data sets and document investigative findings in a clear, concise, and defensible manner.

• Excellent written and verbal communication skills, including the capability to prepare detailed investigative reports and present findings to management.

• Experience with surveillance systems, case management tools, and investigative platforms.

🏝️ Benefits

• Health and well-being benefits.

• Savings and retirement programs.

• Paid time off (including Vacation PTO, Flex PTO, and Holiday PTO).

• Banking benefits and discounts.

• Career development opportunities.

• Recognition and rewards.