Investment Banking AML Investigator

Investment Banking AML Investigator

Whippany, NJ

As a Barclays Investment Banking (IB) AML Investigator, you will be accountable for conducting financial crime investigations, including the drafting of SARs. These investigations will stem from Investment Bank AML related referrals from teams at the Bank, particularly referrals from the Compliance Trade Surveillance, Regulatory Inquiries, and Glasgow Automated Alert clearing teams, and alerts from the Quantexa Markets contextual monitoring tool. Other referral sources include FinCEN 314(a) and 314 (b) requests, and Grand Jury Subpoenas.

Barclays is one of the world's largest and most respected financial institutions, established in 1690, with a legacy of success, quality, and innovation. We've helped millions of individuals and businesses thrive, creating financial and digital solutions that the world now takes for granted. An important and growing presence in the USA, we offer careers providing endless opportunity.

At Barclays, we offer a hybrid working experience that blends the positives of working alongside colleagues at our onsite locations, together with working from home. We have a structured approach where colleagues work at an onsite location on fixed, 'anchor', days of the week, for a minimum of two days a week or more, as set by the business area (or nearest equivalent if working part-time hours). Please discuss the working pattern requirements for the role you are applying for with the hiring manager. Please note that as we continue to embed our hybrid working environment, we remain in a test and learn phase, which means that working arrangements may be subject to change on reasonable notice to ensure we meet the needs of our business.

What will you be doing?

• Conducting from start to finish the analysis and assessment of Investment Banking system-generated alerts using internal/external research tools

• Conducting manual investigations for FinCEN 314(a)/314(b), Grand Jury Subpoena investigations, negative media reviews, and referrals from internal/external sources

• Communicating across Barclays affiliates, business lines, and Financial Crime teams to gather additional information as required and mitigated risk across the firm

• Drafting and presenting SARs for potential filing and preparing corresponding SAR forms

• Managing and leading alert and case queries in order to meet timescales for alert investigation processing and subsequent SAR filing

• Documenting supporting evidence for alert and case closure or SAR filing

• Participating in and contributing to team meetings and share forums

What we're looking for:

• Four-year college degree or international equivalent

• Four plus years of AML Compliance and Bank Secrecy Act or other relevant experience

• Two plus years of investigations and case management and/or research including Fraud, AML, Credit, or Risk

• Experience working in the investment bank and broker-dealer space

Skills that will help you in the role:

• Experience in Compliance, Risk, Operations, or Control

• CAMS certification, CFE, JD, or other advanced degree/certification

• Understanding of capital markets and investment banking products (e.g. equities, bonds and derivatives) and verbal and communication skills

• Experience with the Quantexa contextual monitoring tool

Where will you be working?

Our next-generation workplace in Whippany allows talented, passionate, down-to-earth colleagues to connect daily. With state-of-the-art work facilities and many added features like pool tables, cafés and a gym - it's a place you can call home. Our office is minutes away from Morristown, known for its rich history and lively modern spirit. With bustling Manhattan easily accessible and a picturesque landscape here on the doorstep, Whippany really does offer the best of both worlds.

#LI-Hybrid