As aClient Safeguarding Leadwithin the Wealth Management service organization, you will serve as a front-line, specialized escalation resource responsible forfraud/scam, AML-related concerns, and Elder/Vulnerable Person (EVP) escalationsrouted through service channels. This is not a generalist service role1his position requiresinvestigative judgment from day one, strong regulatory awareness, and the ability to own complex cases end-to-end while balancing client protection, policy adherence, and a high-quality client experience.

You will handle high-stakes situations that may involve restricting access to funds, placing protective measures on accounts, or escalating for additional review. You will partner cross-functionally with internal teams to drive timely, consistent outcomes, and you will identify trends to reduce repeat issues and strengthen controls.

Target operating hours:Monday 6riday 7 a.m. 3 8 p.m. CST (8 a.m. 3 9 p.m. EST) and Saturday 8 a.m. 3 4 p.m. CST (9 a.m. 3 5 p.m. EST).

Job Responsibilities

• Own fraud/scam, AML-related, and EVP escalations end-to-end, including investigation, research, documentation, decisioning, and resolution follow-through.
• Conductadvanced authentication, risk assessment, and root-cause analysis; identify red flags and take appropriate safeguarding actions aligned to policy and controls.
• Managethese fraud related calls/caseswith professionalism, empathy, and clarity1alancing client experience with safeguarding and regulatory requirements.
• Perform meticulous review ofRepeat Callerand high-risk accounts to validate prior outcomes, ensure consistency, and correct gaps in rationale or documentation.
• Evaluateexception requeststo standard procedures, determine appropriateness, and coordinate required approvals and documentation.
• Partner cross-functionally with Wealth Management Client Operations, advisors, servicing teams, risk/control partners, Global Securities & Investigations GSI, and/or other partner areas to resolve issues efficiently and protect client assets.
• Identify trends and recurring drivers behind fraud escalations/instances that will contribute toprocess improvements, controls enhancements, and client experience improvements.
• Participate in working groups, pilots, and projects supporting continuous improvement and the evolution of the client safeguarding operating model.
• Maintain readiness through ongoing learning of evolving fraud typologies, policy updates, and relevant regulatory guidance (e.g., FINRA 2165 and applicable state laws).

Required Qualifications, Capabilities, and Skills

• FINRA Series 7 and 63 (or equivalent)required, including meeting FINRA continuing education requirements.
• Ability to maintain registration inall 50 states, as applicable.
• Demonstratedfraud/EVP escalation judgmentand ability to make high-impact decisions under pressure while adhering to policy and controls.
• Strongrisk, compliance, and control mindset, including consistent execution within operating standards and regulatory requirements.
• Proven ability toown complex cases independentlyand drive outcomes through cross-functional coordination.
• Excellentclient communicationskills (phone and written): clear articulation, de-escalation, empathy, and confidence in difficult conversations.
• Strong documentation discipline and ability to produceclear, auditable case notessuitable for regulatory, legal, and internal review.
• Skilled in prioritization, multi-tasking, and managing competing deadlines in a fast-paced environment.
• Ability to adapt communication style to meet the needs of a diverse client base.

Preferred Qualifications, Capabilities, and Skills

• 2 3+ years of financial services/brokerage experience, with exposure tofraud, disputes, AML/fraud operations, or Fraud/safeguarding/EVP handling.
• Current or former experience in theService Center, Segmented Services Group, or Affluent service model(including first-line escalation handling).
• Familiarity with a wide array of financial products and complex service transactions (e.g., money movement, account transfers, complex trade requests) that can trigger elevated fraud/EVP risk.
• College degree or equivalent relevant service/investigations experience preferred.
• Professional certifications or training in financial crime are a plus (e.g., ACAMS-related credentials; CAFS interest/ability to pursue as program availability permits).
• Demonstrated experience contributing toprocess improvement, thematic root-cause identification, or control enhancements in an escalations environment.