This position reports directly to the Senior Manager/Manager, AML Investigations. The AML Investigator researches, investigates and reports on incidents of fraud, loss, theft and employee misconduct. Additional duties include conducting both internal and external investigations, due diligence and background investigations and recovering or placing a claim on assets lost as a result of fraud.
- Investigates and documents cases of known or suspected fraud, loss, theft and employee misconduct covering all lines of business for the Company and its entities.
- Recovers on all financial loss (including theft of property) for the company by placing claims on assets, filing criminal charges and/or working with the Legal Department on civil issues.
- Coordinates with law enforcement on criminal matters.
- Conducts public records and E*TRADE database searches to compile information for investigations.
- Completes Suspicious Activity Reports (SARs) for all fraud, loss and internal investigations.
- Identifies risk and suggests solutions to help mitigate loss. Assists with the development and implementation of fraud detection/prevention systems.
- Develops and assists in the delivery of training on fraud prevention.
- Coordinates investigative activities with compliance and other business units.
- Maintains data pertaining to risks identified, fraud management and recoveries.
- Assists with projects and preparing reports that communicate trends, losses, recoveries and investigation results to senior management.
- In depth knowledge of financial services, securities, banking or related experience.
- Experience in conducting witness and suspect interviews.
- BA/BS or AA degree in related field or equivalent work experience.
- A minimum of 5 years of fraud investigation experience in a financial services industry or equivalent.
- Strong analytical skills including the ability to research, schedule, analyze and present investigative findings.
- Strong interpersonal skills.
- Ability to work in a fast-paced and rapidly changing environment.
- Knowledge of Microsoft Office applications.
- Strong verbal and written communications skills with attention to detail.