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Financial Crimes Consultant 3- Brokerage AML Investigator

Wells Fargo Charlotte Full-Time
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At Wells Fargo, we want to satisfy our customers’ financial needs and help them succeed financially. We’re looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you’ll feel valued and inspired to contribute your unique skills and experience.

Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

Corporate Risk helps all Wells Fargo businesses identify and manage risk. The team focuses on several key risk types, including conduct, credit, financial crimes, information security, interest rate, liquidity, market, model, operational, regulatory compliance, reputation, strategic, and technology risk. The group provides leadership, enhances communications, assists with problem identification and solutions, and shares best practices. In addition, the group provides an enterprise-wide view of risk, assists management and our Board of Directors in identifying and monitoring risks that may affect multiple lines of business, and takes appropriate action when business activities exceed the risk tolerance of the company.

Financial Crimes Risk Management (FCRM) is responsible for oversight of the company’s financial crimes related risk: Bank Secrecy Act (BSA), anti-money laundering and terrorist financing, anti-bribery and corruption, the Office of Foreign Assets Control, other global sanctions programs, external fraud, and the Foreign Account Tax Compliance Act.

The Financial Crimes Brokerage Investigations Group (BIG), part of the Financial Crimes Risk Management (FCRM) family is seeking an FCC3 Investigator. This position has a primary focus of investigating complex cases on brokerage accounts/relationship by prioritizing, identifying, researching, analyzing and providing reports and recommendations related to activity and trends.

Brokerage Investigations is seeking an innovative, self-motivated individual who has experience in analyzing and manipulating large amounts of information to discover patterns and trends. They must be able to take high level initiatives and prioritize and break them down to areas for analysis by the team. The successful candidate will be able to identify, research, gather information ultimately leading to analysis and report generation. The successful candidate will be able to partner with different lines of businesses and other internal teams to get a better understanding of how these trends and patterns are occurring and to make more accurate recommendations.

Required Qualifications

  • 4+ years of experience in one or a combination of the following: fraud, Bank Secrecy Act, anti money laundering, investigations of financial crimes transactions or policy violations, risk management, or compliance; or a BS/BA degree or higher in applied sciences, mathematics, statistics, economics, finance, or criminal justice, with 2+ years of experience in the foregoing

Desired Qualifications

  • 2+ years of financial crimes experience
  • Microsoft Excel spreadsheets experience importing, exporting, and manipulating data
  • Advanced Microsoft Office skills
  • Ability to research, trend, and analyze data
  • Ability to work in a fast paced deadline driven environment
  • Brokerage industry experience
  • Certified Anti Money Laundering Specialist (CAMS)
  • Ability to develop partnerships and collaborate with other business and functional areas
  • Excellent verbal, written, and interpersonal communication skills

Other Desired Qualifications
  • Law enforcement or bank fraud investigation experience
  • Experience with the Financial Crimes Investigations team.
  • BS/BA degree or advanced degree in business, accounting, applied sciences, English, Mathematics, statistics, economics, finance or criminal justice.
  • Prior experience in Banking/Securities Industries or White Collar Crimes Related Law Enforcement.
  • Previous experience investigating, writing, and filing Suspicious Activity (SARs)
  • Prior experience reviewing activity in brokerage accounts
  • Securities Licenses
  • Professional experience conducting investigations of financial crimes transactions or policy violations, risk management and compliance, including researching and analyzing complex transactions to detect patterns, trends and anomalies.
  • Prior experience with correspondent bank investigations.
  • Previous experience in BSA departments including, CTR, OFAC, Financial Crimes Investigations.
  • Experience in, and comprehension of, multiple Wells Fargo lines of business, products and/or services is strongly desired.

Street Address

MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO
NC-Charlotte: 401 S Tryon St - Charlotte, NC


All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.

Relevant military experience is considered for veterans and transitioning service men and women.

Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.

Skills required

Microsoft Excel
Microsoft Powerpoint
Written Communication
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Job ID: 5493016-1


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Wells Fargo & Company (NYSE: WFC) is a diversified, community-based financial services company. Founded in 1852 and headquartered in San Francisco, Wells Fargo provides banking, insurance, investments, mortgage, and consumer and commercial finance through our many locations, ATMs, the internet (wellsfargo.com) and mobile banking. To learn more, Wells Fargo perspectives are also available at Wells Fargo Blogs and Wells Fargo Stories.

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