Financial Crimes Investigator (AML/Broker Dealer)
Location Raleigh, NC | Remote (must reside locally)
COMPENSATION & SCHEDULE
• $58.45/hour
• Monday–Friday, 8:00 AM–5:00 PM
ROLE IMPACT: This role is critical in safeguarding the organization and its clients from financial crime, fraud, and regulatory exposure. The Financial Crimes Investigator leads end-to-end suspicious activity investigations, applying AML and Broker Dealer expertise to ensure compliance with FINRA, BSA/AML, and other financial regulations. Success is measured by accurate risk identification, timely escalation, and actionable reporting that strengthens fraud prevention controls.
KEY RESPONSIBILITIES
• Execute and manage investigations of suspicious or fraudulent financial activity, including money laundering, terrorist financing, and other financial crimes.
• Analyze customer transaction data for legitimacy, identify anomalies, and escalate elder or high-risk concerns to appropriate parties.
• Serve as subject matter expert for Unusual Financial Observation (UFO) filings and liaise with AML Officers and Fraud Program Management.
• Maintain awareness of evolving BSA/AML laws, FINRA Red Flags, and emerging regulatory requirements.
• Partner with governance and internal business units to enhance processes, reduce fraud risk, and ensure ongoing compliance.
MINIMUM QUALIFICATIONS
• Bachelor’s degree required
• 7+ years of financial services experience in operations, supervision, compliance, and/or risk management required
• Strong Broker Dealer and AML background required
• Knowledge of securities markets, retail brokerage, and regulatory environments required
• Proven analytical and reporting skills with data-driven decision-making
• Excellent written and verbal communication skills; able to manage multiple priorities independently
PREFERRED SKILLS
• FINRA Series 7 and/or 66, Series 24
• Experience in banking or investment securities environments
• Advanced proficiency in SQL and Microsoft Excel
• Degree concentration in business, finance, or accounting
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