Job Description:

AML Investigator

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.

Note: Fidelity is not providing immigration sponsorship for this position

The Team

AML Investigations is part of Financial Crimes Investigations (FCI) within the Legal, Regulatory and Compliance (LRC) team. LRC strives to protect Fidelity’s businesses, clients, customers and reputation by providing effective and timely analytical and investigative services, enabling us to provide the optimal balance of risk management and customer experience.

AML Investigations is a specialized group 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 Fidelity’s Financial Crimes Compliance Program Office (FCPO) as well as with regulatory entities and various law enforcement agencies. 

The base salary range for this position is $63,000-$100,000 per year.  

Placement in the range will vary based on job responsibilities and scope, geographic location, candidate’s relevant experience, and other factors.

Base salary is only part of the total compensation package. Depending on the position and eligibility requirements, the offer package may also include bonus or other variable compensation.   

We offer a wide range of benefits to meet your evolving needs and help you live your best life at work and at home.  These benefits include comprehensive health care coverage and emotional well-being support, market-leading retirement, generous paid time off and parental leave, charitable giving employee match program, and educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career.  Note, the application window closes when the position is filled or unposted.

Please be advised that Fidelity’s 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.

Fidelity’s hybrid working model blends the best of both onsite and offsite work experiences. Working onsite is important for our business strategy and our culture. We also value the benefits that working offsite offers associates. Most hybrid roles require associates to work onsite every other week (all business days, M-F) in a Fidelity office.

Certifications: