Posted 4 days ago
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**AML Investigator** AML Investigators probe potential criminal activities, ensuring Fidelity fulfills regulatory AML requirements. Key duties include investigating money laundering, fraud, and suspicious activities, and filing SARs. The ideal candidate holds a college degree or 8-10 years of experience, with 2+ years in financial services. Experience in risk management, compliance, or anti-money laundering is a plus. Strong analytical and communication skills are essential. FINRA Series 7 preferred. Minimal supervision required.
- Compensation
- Not specified
- City
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- Country
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Currency: Not specified
Full Job Description
Job Description:
Note: Fidelity will not provide immigration sponsorship for this position.
The Role
AML Investigators are responsible for providing sophisticated financial analysis, investigating incidents of possible money laundering; terrorist financing; insider trading; securities fraud; market manipulation; suspected theft or embezzlement and customer fraud.
The Expertise and Skills You Bring
College degree and/or 8 10 years' work experience in a relevant field.
2+ years of experience in the financial services industry.
Previous Risk Management/Compliance/Anti-Money Laundering experience a plus.
Detailed knowledge of brokerage operations.
FINRA Series 7 preferred.
Working knowledge of Fidelity systems a plus.
An understanding of the financial services industry and its corresponding products.
Proven interpersonal skills; ability to work well in a small, collaborative team, while also communicating and interacting with senior executives.
Strong communications skills (both written and oral).
Familiar with AML laws and regulations.
Require minimal direction and supervision as there will be a significant level of decision making.
Investigating and identifying incidents of possible suspicious activity.
Protecting Fidelity and its customers.
Ensuring Fidelity is fulfilling its regulatory requirements with regards to AML.
Supporting AMLO efforts in order to maintain an effective AML Program.
The Team
The Financial Intelligence Unit (FIU) is a division of Fidelitys Global Security and Investigations group that strives to protect Fidelitys businesses, clients, customers and reputation by providing effective and timely analytical and investigative services.
AML Investigations is a specialized group within FIU, responsible for investigating cases of suspicious activity and when necessary, filing Suspicious Activity Reports (SARs) with FinCEN (Financial Crimes Enforcement Network) a bureau of the US Treasury, whose mission is to safeguard the financial system through the collection, analysis, and dissemination of financial intelligence. The unit maintains key business partner relationships with Fidelitys Anti-Money Laundering Office (AMLO) and Compliance as well as with regulatory entities and various law enforcement agencies.
Fidelitys Onsite Working Model
Fidelity is transitioning to a full-time onsite working model through a phased rollout across regions and roles. Currently, some roles and locations require 100% onsite presence, while others require less. Onsite expectations are likely to evolve as the rollout continues. This transition does not apply to fully remote roles.
Certifications:
Category:
CompliancePlease be advised that Fidelitys business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories.
Apply
All fields are required. Candidates should limit the number of roles they apply to at any given time.
Benefits that balance life and work
From our fully paid parent leave to our on-site health and wellness centers, our benefits support the belief that more balance you have, the better you can achieve your goals.
Company overview
Company overview
At Fidelity, we are passionate about making our financial expertise broadly accessible and effective in helping people live the lives they want. We are a privately held company that places a high degree of value in creating and nurturing a work environment that attracts the best talent and reflects our commitment to our associates. We are proud of our diverse and inclusive workplace where we respect and value our associates for their unique perspectives and experience.
Reasonable accommodations
Fidelity will reasonably accommodate applicants with disabilities who need adjustments to participate in the application or interview process. To initiate a request for an accommodation contact the HR Accommodation Team by sending an email to accommodations@fmr.com, or by calling 800-835-5099, prompt 2, option 3.
Equal opportunity employer
Fidelity Investments is an equal opportunity employer. We believe that the most effective way to attract, develop, and retain a diverse workforce is to build an enduring culture of inclusion and belonging.
Applicant screening
At Fidelity, we value honesty, integrity, and the safety of our associates and customers within a heavily regulated industry. Certain roles may require candidates to go through a preliminary credit check during the screening process. Candidates who are presented with a Fidelity offer will need to go through a background investigation and may be asked to provide additional documentation as requested. This investigation includes but is not limited to a criminal, civil litigations and regulatory review, employment, education, and credit review (role dependent). These investigations will account for 7 years or more of history, depending on the role. Where permitted by federal or state law, Fidelity will also conduct a pre-employment drug screen, which will review for the following substances: Amphetamines, THC (marijuana), cocaine, opiates, phencyclidine.
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