Global Financial Crimes Senior Investigator – Brokerage

Role Overview

• Conducting end-to-end investigations of financial crimes
• Reviewing and analyzing investigations and making recommendations
• Reporting findings to senior stakeholders
• Quality control functions and training for investigators

Requirements

• Minimum 5 years of relevant financial crimes investigations experience
• FINRA licenses including the SIE or Series 7 at minimum
• Knowledge of retail and/or institutional brokerage products and compliance rules
• 1+ years of AML/Compliance experience
• Proficiency in Microsoft Excel

Benefits

• Health insurance
• 401(k) matching
• Paid time off
• Discretionary incentive eligible
• Industry-leading benefits