Vice President, Financial Crimes Investigator (Securities / Broker-Dealer)

BNY • Lake Mary, FL

21d

About The Position

At BNY, our culture allows us to run our company better and enables employees’ growth and success. As a leading global financial services company at the heart of the global financial system, we influence nearly 20% of the world’s investible assets. Every day, our teams harness cutting-edge AI and breakthrough technologies to collaborate with clients, driving transformative solutions that redefine industries and uplift communities worldwide.
Recognized as a top destination for innovators and champions of inclusion, BNY is where bold ideas meet advanced technology and exceptional talent. Together, we power the future of finance – and this is what #LifeAtBNY is all about. Join us and be part of something extraordinary.
We’re seeking a future team member for the role of Vice President, Financial Crimes Investigator (Securities / Broker - Dealer) to join our Financial Crimes Compliance Securities / Broker-Dealer Investigation Team.
The Financial Crimes Compliance Investigations team carries out the firm’s enterprise-wide suspicious activity investigation and reporting function. FCC Investigations’ primary mission is to mitigate risk through excellence in suspicious activity investigations and reporting. Activity investigated by the Team includes money laundering, terrorist financing, identify theft, wire fraud, securities fraud, market manipulation, check fraud and debit card fraud.
FCC Investigations seeks a Vice President to join its team of investigative and compliance professions. The VP conducts complex investigations primarily involving instances of securities fraud, market manipulation and account takeovers. The VP is also responsible for drafting Suspicious Activity Reports (SARs) filed by BNY with the Financial Crimes Enforcement Network (FinCEN) or documenting decisions not to file SARs.
This role is in Lake Mary, FL or Pittsburgh, PA.

Requirements

• Bachelors’ degree or the equivalent combination of education and experience is required
• Prior AML and/or securities fraud investigative experience at a financial institution or a broker / dealer.
• Subject matter expertise in financial crimes investigations involving securities transactions, digital assets, correspondent banking, institutional custody, and/or private wealth

Nice To Haves

• Experience working for a financial institution on AML/ KYC/ anti-fraud related projects and/or ACAMS (Association of Certified Anti-Money Laundering Specialists) or CFE (Certified Fraud Examiner) certification and intelligence work in the private or public sector, is preferred.
• FINRA Series 7 license preferred

Responsibilities

• Receive transaction monitoring or other potentially suspicious activity escalations and conduct comprehensive anti-money laundering and / or securities-related investigations of escalated activity
• Recommend to SAR Reviewers whether to file a SAR with FinCEN
• Draft timely, error-free and well-written SARs and No SARs that follow FinCEN regulations and BNY guidance and procedures
• Create a comprehensive and well-organized case file
• Present significant SARs to Senior Management and / or governance committees
• With minimal guidance, contribute to assessments of the effectiveness of controls that help ensure ongoing compliance with key laws, regulations and policies affecting BNY businesses
• Contribute to the preparation of time sensitive reporting and appropriately escalate issues
• Perform quality control reviews and/or conduct transaction-based investigations
• Work comfortably with large data and inputs while investigating evidence of suspicious activity
• Serve as a subject matter resource to coach and guide the team on securities fraud types such as Information abuse, Market Manipulation, Sales Practice violations, Execution/supervision
• Contribute to the achievement of team objectives

Benefits

• BNY offers highly competitive compensation, benefits, and wellbeing programs rooted in a strong culture of excellence and our pay-for-performance philosophy.
• We provide access to flexible global resources and tools for your life’s journey.
• Focus on your health, foster your personal resilience, and reach your financial goals as a valued member of our team, along with generous paid leaves, including paid volunteer time, that can support you and your family through moments that matter.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level