The Financial Crime Risk Investigator II 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.
Plays a critical role in safeguarding the organization's financial integrity by conducting thorough end-to-end investigations within Securities.
Responsible for managing diverse internal and external investigations, utilizing expertise to establish reasonable grounds for suspecting money laundering and terrorist financing.
Directly contributes to mitigating financial crime risks and disrupting illicit activities, ensuring compliance, and protecting the organization's reputation.

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
Knowledge of financial industry products, policies, and procedures that involve Institutional Clients, Broker-Dealers, and Securities related Investigations
Understanding of regulatory requirements including FINRA, SEC, and applicable AML/BSA regulations
Ability to manage multiple investigations simultaneously while meeting deadlines in a fast-paced environment
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