AML Investigator

Fidelity Investments • Covington, KY

1d • Onsite

About The Position

AML Investigators are responsible for providing sophisticated financial analysis, investigating incidents of possible money laundering; terrorist financing; insider trading; securities fraud; market manipulation; suspected theft or embezzlement and customer fraud. The Financial Intelligence Unit (FIU) is a division of Fidelity’s Global Security and Investigations group that strives to protect Fidelity’s businesses, clients, customers and reputation by providing effective and timely analytical and investigative services. AML Investigations is a specialized group within FIU, responsible for investigating cases of suspicious activity and when necessary, filing Suspicious Activity Reports (SARs) with FinCEN (Financial Crimes Enforcement Network) a bureau of the US Treasury, whose mission is to safeguard the financial system through the collection, analysis, and dissemination of financial intelligence. The unit maintains key business partner relationships with Fidelity’s Anti-Money Laundering Office (AMLO) and Compliance as well as with regulatory entities and various law enforcement agencies.

Requirements

• College degree and/or 8 – 10 years' work experience in a relevant field.
• 2+ years of experience in the financial services industry.
• Detailed knowledge of brokerage operations.
• An understanding of the financial services industry and its corresponding products.
• Proven interpersonal skills; ability to work well in a small, collaborative team, while also communicating and interacting with senior executives.
• Strong communications skills (both written and oral).
• Familiar with AML laws and regulations.
• Require minimal direction and supervision as there will be a significant level of decision making.

Nice To Haves

• Previous Risk Management/Compliance/Anti-Money Laundering experience a plus.
• FINRA Series 7 preferred.
• Working knowledge of Fidelity systems a plus.

Responsibilities

• Investigating and identifying incidents of possible suspicious activity.
• Protecting Fidelity and its customers.
• Ensuring Fidelity is fulfilling its regulatory requirements with regards to AML.
• Supporting AMLO efforts in order to maintain an effective AML Program.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: Associate degree