Financial Crimes Investigator II - Investment & Advisory Services

Language Fluency: English (Required)

Work Shift:

1st shift (United States of America)

Job Grade:

108

Please review the following job description:

This position will sit in-office 4 days a week, locations for consideration are listed. No remote option available. No additional locations will be considered.

This role will support complex Investments and Advisory Services investigations.

ESSENTIAL DUTIES AND RESPONSIBILITIES

Following is a summary of the essential functions for this job.  Other duties may be performed, both major and minor, which are not mentioned below.  Specific activities may change from time to time.  

1. Review, analyze and interpret complex cases and data sets.

2. Design reports, optimize data and develop analysis and reporting capabilities with a goal to interpret business needs into logical solutions and services.

3. Plan, scope and develop the test plan for internal FIU departments, organizing and using resources effectively to complete assignments.  

4. Make appropriate recommendations, ensure follow up and communicate decisions to the appropriate associate, team, or FIU leadership. 

5. Oversee high priority projects and/or business unit programs to include vendor/contract management related projects as necessary.

6. Manage the critical day-to-day operational elements of assigned projects including: project vision/objectives, financials, scope, quality, schedule, resourcing, vendor management, dependencies, risks, status reporting, stakeholder engagement, business readiness/organizational change management, value realizations necessary to deliver specific requirements, objectives, and value. 

7. Focus on meeting customer needs by developing and maintaining project standards and managing program commitments including communication, processes, and methodologies. 

8. Participate in BSA/AML training that may include webinars, periodicals, and self-study to stay abreast of the BSA/AML laws and regulations. Maintain awareness of national and world events and industry trends through press releases, internal or external watch lists or other relevant sources to mitigate the company's reputation or regulatory risk.

9. Identify key risks and control points, providing subject matter expertise, leadership and under limited supervision, execute on ongoing review of BSA/AML policies and procedures and associated activities addressed by those policies and procedures.

10. Demonstrate a team orientation by working closely and effectively with business partners, teams, and outside services.  

11. Assist in training and professional development of team members.

QUALIFICATIONS

Required Qualifications:

The requirements listed below are representative of the knowledge, skill and/or ability required.  Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

• College Degree or equivalent education, training and work-related experience 
• Nine years of compliance experience in BSA/AML Compliance, BSA/AML regulatory, BSA/AML Audit or related experience
• Excellent analytical and problem-solving skills with the ability to identify and find solutions to complicated problems
• Ability to evaluate the adequacy and effectiveness of the systems or processes that are compliance controls 
• Ability to think critically and demonstrate professional skepticism when necessary
• Established verbal, written, facilitations and consulting skills
• Excellent communication and interpersonal skills 
• Proven ability to interact and clearly convey information to management, associates and third-party vendors in a one-to-one and/or a group setting
• Demonstrated proficiency in computer applications, such as Microsoft Office software products and data analysis tools
• Highly motivated and a self-starter that can work independently with minimum supervision 

Preferred Qualifications:

• FINRA Licensing (Series 99 or 7), broker dealer experience, and/or good knowledge and understanding of broker-dealer accounts and securities transactions.   
• Familiarity with FINRA and SEC regulatory requirements for Broker Dealers as it relates to identifying and reporting suspicious activity, insider trading, market manipulation as well as an understanding of general conduct requirements for Broker Dealers.
• Knowledge of financial markets, Retail and/or Institutional Broker Dealer business, as well as retail and/or institutional brokerage products and services.

The annual base salary for this position is $70,000 - $85,000

General Description of Available Benefits for Eligible Employees of Truist Financial Corporation: All regular teammates (not temporary or contingent workers) working 20 hours or more per week are eligible for benefits, though eligibility for specific benefits may be determined by the division of Truist offering the position. Truist offers medical, dental, vision, life insurance, disability, accidental death and dismemberment, tax-preferred savings accounts, and a 401k plan to teammates. Teammates also receive no less than 10 days of vacation (prorated based on date of hire and by full-time or part-time status) during their first year of employment, along with 10 sick days (also prorated), and paid holidays. For more details on Truist’s generous benefit plans, please visit our Benefits site. Depending on the position and division, this job may also be eligible for Truist’s defined benefit pension plan, restricted stock units, and/or a deferred compensation plan. As you advance through the hiring process, you will also learn more about the specific benefits available for any non-temporary position for which you apply, based on full-time or part-time status, position, and division of work.

Salary : $70,000 - $85,000