FCC Jr Investigator FCC Jr Investigator …

Credit Suisse
in Raleigh, NC, United States
Permanent, Full time
Last application, 26 Oct 20
Competitive
Credit Suisse
in Raleigh, NC, United States
Permanent, Full time
Last application, 26 Oct 20
Competitive
Credit Suisse
FCC Jr Investigator
Credit Suisse is a leading global wealth manager with strong investment banking capabilities. Headquartered in Zurich, Switzerland, we have a global reach with operations in about 50 countries and employ more than 45,000 people from over 150 different nations. Embodying entrepreneurial spirit, Credit Suisse delivers holistic financial solutions to our clients, including innovative products and specially tailored advice. Striving for quality and excellence in our work, we recognize and reward extraordinary performance among our employees, provide wide-ranging training and development opportunities, and benefit from a diverse range of perspectives to create value for our clients, shareholders and communities. We are Credit Suisse.

We Offer
The Financial Crime Compliance Investigator is accountable for performing AML Investigations of account activity conducted by Credit Suisse clients, and recommending the filing of Suspicious Activity Reports (SARs) and/or relationship termination, as appropriate. Cases are worked from beginning to completion according to the firm's AML procedures and policies.

As part of responsibilities, the FCC Investigator will:

  • Document and report the investigation findings and prepare case files for review (e.g. media search results, review of trade and/transaction, copies of statements, results from internal system searches etc.)
  • Communicate with internal/external entities, including other Credit Suisse AML monitoring units.
  • Collect and examine financial statements and documents to assist in identifying unusual transaction patterns.
  • Conduct research over available Bank systems, the Internet and Databases consistent with the resolution of investigations.
  • Write and file Suspicious Activity Reports (SARs) and recommend relationship retention or termination and track account closures as required.
  • Interact with Senior Management on the Compliance, Legal and business sectors concerning AML issues.
  • Document all research and analysis conducted in the Case Management System.
  • Follow-up with additional Point(s) of Contact (POC) as needed to identify additional information in support of the case.


  • Liaise with other FIU units, the Business, Surveillance teams, and Law Enforcement, where applicable.


You Offer
  • Bachelor's Degree Required or equivalent experience
  • Equivalent experience of 2+ years' in reviewing customer transactions and information for potentially suspicious activity and performing AML or fraud investigations; direct securities industry experience preferred.
  • Equivalent experience 1+ years' in writing and preparing Suspicious Activity Reports (SARs) in accordance with applicable regulatory requirements and/or performing AML or financial investigations.
  • Equivalent work experience with financial institution in AML a plus!
  • General knowledge of the laws applicable to money laundering, terrorist financing, and other applicable financial/securities related crimes (e.g., insider trading, market manipulation), including the Bank Secrecy Act (BSA), The USA PATRIOT Act, US Treasury AML guidelines, OFAC, SEC, FINRA, FRB, FinCEN requirements, and SAR requirements.
  • General understanding of Senior Public Figures, Money Service Businesses, Wealth Management, Institutional Markets, and Banking/Brokerage preferred as well as compliance with those business segments.
  • Basic understanding of complex financial products and transactions including equities, fixed income securities, derivatives, prime brokerage, DVP/RVP, private placement, asset management, hedge funds, security transfers, etc.
  • Outstanding organizational, time management and project management skills
  • Excellent research skills including experience with online search tools.
  • Proficiency in Microsoft Word, Excel, Access, Power Point and Outlook.
  • Do you possess strong attention to detail and follow-up skills?
  • Outstanding writing, analytical and strong communications (written and verbal) skills. Ability to multitask and complete projects on time.
  • Ability to understand and draw conclusions from research conducted
  • Should be a self-starter, and organized, and must have the ability to work independently, without supervision.
  • Proficiency in a foreign language is a plus!


Credit Suisse is an equal opportunity employer. Welcoming diversity gives us a competitive advantage in the global marketplace and drives our success. Credit Suisse complies with applicable federal, state, and local laws prohibiting discrimination in employment in every jurisdiction in which it maintains facilities. Subject to applicable law and regulatory requirements, Credit Suisse complies with state and local laws regarding considering for employment qualified individuals with criminal histories.
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