BNY · 21 hours ago
AML Investigator (Brokerage and Securties) (contract)
Lake Mary, FL
Contract
Hybrid
Mid, Senior Level
$48.29/hr - $60.37/hr
3+ years expBNY is a leading global financial services company at the center of the world’s financial system. The AML Investigator supports the Financial Crimes Compliance team by conducting complex AML investigations, identifying suspicious behavior, and mitigating BSA/AML risk within the broker-dealer and RIA environment.
Financial Services
Responsibilities
Conduct moderate to highly complex investigations involving money laundering, fraud, terrorist financing, wire fraud, insider trading, wash trades, and other securities-related suspicious activity; draft timely, accurate, FinCEN-compliant SARs and document decisions not to file
Analyze trading activity (buys/sells, stock movements, trade patterns), broker-dealer and RIA client behavior, and transactional data using Pershing systems (NetX360 / Pershing Advisor Solutions) and internal mainframe tools
Identify trends, high-risk jurisdictions, outliers, and emerging typologies through daily research across multiple platforms; support fraud wire investigations and complex securities cases as part of the L3 investigation function prior to final review
Manage a high-volume workload (30–35 cases per week; typically 4–5 active at a time), meet strict regulatory deadlines (often final determinations within 3–4 days), and communicate roadblocks on complex cases
Partner with compliance leadership, client service teams, broker-dealers, and RIAs primarily via email (and occasional phone), participate in bi-weekly best-practice and AI innovation discussions, and contribute to continuous process improvement
Qualification
Required
3–5+ years of AML investigations experience within a financial institution (broker-dealer or RIA environment required)
Strong SAR writing experience with detailed, well-structured narratives (must-have)
Solid understanding of BSA/AML regulatory requirements and financial crime typologies
Experience working in fast-paced, high-volume environments with tight deadlines
Bachelor's degree or equivalent combination of education and experience
Experience using LexisNexis or equivalent investigative tools
Preferred
Series 7 license (or willingness to obtain); Series 24 a plus
Securities trading or trade surveillance background (highly desirable)
Pershing platform experience (NetX360, Pershing Advisor Solutions, or Pershing LLC environments)
QSS WorldCheck and wire mainframe database experience
Prior experience supporting broker-dealers, RIAs, or Pershing clients
Benefits
Medical
Dental
Vision
Retirement benefits via Tundra Technical Solutions
Company
BNY
For more than 240 years BNY has partnered alongside clients, using its expertise and platforms to help them operate more efficiently and accelerate growth.
10001+ employees
Funding
Current Stage
Late StageLeadership Team
Brian A. Ruane
CEO Government Securities Services & Global Client Management
Chris Kearns
CEO, Depositary Receipts
Recent News
PR Newswire
2024-11-01
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