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GFC Investigator - Specialized Investigations

Charlotte, North Carolina;

Job Description:

The Global Financial Crimes (GFC) Investigator conducts complex investigations, including money laundering, terrorist financing, fraud committed by external parties, and/or securities fraud. 

The Investigator will maintain a working knowledge of the Bank Secrecy Act (BSA), USA PATRIOT Act, Anti-Money Laundering efforts, Office of Foreign Assets Control (OFAC) and awareness of industry best practices.

The primary responsibilities for this role include completing investigations while ensuring cases meet or exceed closure and quality metrics, reporting facts of the investigation to assist in identifying potential operational or compliance risks, and completing Suspicious Activity Reports (SAR) in a timely and accurate manner for submission to regulators and/or law enforcement. 

Activities performed by this role may include, but are not limited to:

•    The Investigator manages a significant case inventory and prioritizes cases based upon risk and/or management direction while adhering to department Service Level Agreements (SLAs)

•    The Investigator will perform research and analysis of transaction information, customer data, public records, social media platforms or other external research tools to aide in the investigation to determine whether the activity appears to be normal for the client type

•    The Investigator is responsible for preparing concise reporting that captures the investigative details that support their decision

•    The Investigator completes Suspicious Activity Reports (“SAR”) in a timely and accurate manner for submission to regulators and law enforcement

•    The Investigator communicates with GFC Management, front line units or other internal stakeholders, and law enforcement to obtain additional information and documentation as needed to resolve investigations

•    The Investigator recommends appropriate follow-up and possible account closure for customers that exceed the Bank's risk tolerance; and identifies and escalates potential operational or compliance risks

•    Flexible to perform other functions as requested by management.

Required Skills:

•    Minimum one year experience with Fraud, AML, Risk, or Compliance and/or knowledge of financial crimes typologies

•    Bachelor’s degree or equivalent work experience in areas such as financial services, investigative service or law enforcement

•    Proficiency in Microsoft Excel / data analytics; ability to analyze and manipulate large data sets

•    Self-starter with an ability to work professionally in a fast paced, high-pressure environment

•    Critical thinker who is intellectually curious

•    Excellent writing skills, with experience writing in a concise and understandable format

Desired Skills:

•    Professional certification (i.e., CAMS, CFE) preferred

•    Knowledge related to retail and/or institutional brokerage products and services and applicable compliance rules and regulations

•    FINRA licenses including the SIE or Series 7, Series 4, Series 24

•    Experience in Law enforcement and/or interacting with law enforcement

•    Bi-lingual (Spanish, Russian, Chinese/Mandarin, and/or Farsi preferred)



1st shift (United States of America)

Hours Per Week: 


Learn more about this role

Full time


Manages People: No

Travel: No