Conducts investigations of moderate complexity for both internal and external cases
Recommends for demarket and/or freezing accounts by the appropriate investigative unit
Conducts adjudications of moderate complexity
May provide QA/review and mentorship of a team
Applies reasonable grounds to suspect money laundering and terrorist financing
Conducts end-to-end investigations of various higher complexity and sensitivity through analysis of evidence gathered for both internal and external investigations
Leads projects or work streams within broader projects with moderate risk and may be accountable for ongoing activities, processes, and functional programs

Undergraduate degree or equivalent work experience
3+ years experience
3+ years' experience in a Broker-Dealer and/or Securities related investigations role
Thorough understanding of Securities products such as Fixed Income, Foreign Exchange, Prime Brokerage, Equities, Low Priced Securities, etc.
Knowledge of market abuse typologies such as insider trading, market manipulation, front running, and layering/spoofing
Understanding of regulatory requirements including FINRA, SEC, and applicable AML/BSA regulations
Strong critical thinking and problem-solving skills with attention to detail
Experience reviewing trading activity, transaction patterns, and customer behavior to identify potential misconduct or suspicious activity
Ability to analyze large data sets and document investigative findings in a clear, concise, and defensible manner
Strong written and verbal communication skills, including the ability to prepare detailed investigative reports and present findings to management
Experience working with surveillance systems, case management tools, and investigative platforms.

Financial Crime Risk Investigator II – Securities

Key skills