Financial Intelligence Unit Senior Investigator, Assistant Vice President

Who we are looking for

The FIU Senior Investigator supports Functional Compliance’s Financial Intelligence Unit (FIU) in the United States. The FIU team is responsible for centralized monitoring of suspicious transactions and AML investigations where suspicious activity is present. The FIU Sr Investigator works independently on assignments within the scope of established guidelines/practices and consults with senior staff where clarification or exception to policy may be required and may provide functional guidance to less experienced staff. Individuals work independently on complex projects and issues. The FIU provides support and guidance to the foreign-based FIU teams. In this role, the FIU Sr Investigator completes investigations with an understanding of cash movements, bonds, mutual funds, stocks, options, hedge funds, etc. and contributes to discussions on securities, money laundering, market abuse, and other crime related issues in support of achievement of organizational objectives and regulatory requirements.

This role can be performed in a hybrid model in Boston, MA, where you can balance work from home (1 day per week) and office (4 days per week) to match your needs and role requirements.

Why this role is important to us

The team you will be joining plays an important role in the overall success of the organization. Across the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. To make that happen we need teams like yours to help navigate employees and the organization as a whole. In your role you will strive for cutting-edge solutions, that are straightforward and scalable. You will help us build resilience and execute day to day deliverables at our best. Join us if making your mark in the financial services industry from day one is a challenge you are up for.

What you will be responsible for

As FIU Senior Investigator you will

• Perform investigations with an understanding of cash movements, bonds, mutual funds, stocks, options, hedge funds, and income trusts etc.

• Act as subject matter expert to contribute to discussions on Securities, Broker Dealer money laundering, market abuse, suspicious cash movements, and other crime related issues

• Develop/create investigation reports, recommending courses of action

• Conduct investigations relating to breaches of securities laws, governance and compliance matters

• Perform investigations into improper or unauthorized trading and market manipulation

• Manage assigned investigations ensuring timely and prompt recommendations (SAR/No SAR, escalation recommendations such as Account Closure) and reports are made to management

• Coordinate in-depth research and documentation when unusual activity is detected

• Provide recommendations to senior management on actions/strategies to mitigate money laundering, market abuse, or other crimes identified

• Conduct effective presentations to various groups, both large and small analytical (problem solving) skills with good objectivity and discretion

• Assist in providing guidance to staff to ensure the timely resolution and appropriate documentation of routine problems. Assist in training and developing new staff

• Cultivate a positive, team oriented approach to FIU operations

• Foster sound relationships with business units

What we value

These skills will help you succeed in this role

• Analytical (problem solving) skills with good objectivity and discretion

• Strong communication skills ability to deal with management and staff

• Exceptional organizational skills with the ability to execute work assignments quickly and proficiently

• Demonstrated exceptional level of accuracy and detail for reporting

Education & Preferred Qualifications

• Understanding of AML typologies involving cash, investments and overall risk within the bank
• Ability to review the various systems utilizing data analytics techniques
• Some knowledge of the securities industry and operations.
• Strong understanding of investment products such as: bonds, mutual funds, stocks, options, hedge funds, and income trusts etc.
• 5-7 years of relevant business experience in AML compliance, cash, and/or securities
• Analyze general AML and security based risk and identify potential instances of suspicious activity  (financial, reputational, and regulatory)
• Bachelor’s degree or equivalent with focus in business, accounting, finance, or economics required
• ACAMS Certification Preferred
• PC literacy, with good working knowledge of the Microsoft office applications (Access, Word, Excel)