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BNY · 4 hours ago

AML Investigator (Brokerage and Securties) (contract)

Lake Mary, FL

Contract

Hybrid

Mid, Senior Level

$48.29/hr - $60.37/hr

3+ years exp

BNY 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

AML investigationsSAR writingBSA/AML regulationsLexisNexisPershing platformSecurities tradingCase managementResearch skillsCross-functional collaborationCommunication skills