Specialist, First Response Investigations (Risk Management & Fraud Investigations)

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Job ID:
20170103-2
Job Category:
Compliance/Legal/Regulatory
Relevant Work Experience:
Compliance
Current Licenses / Certifications:
None
Position Located In:
CO - Lone Tree
Education:
HS/GED
Job Type:
Full Time

We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client’s goals with passion and integrity. We respect and appreciate the diversity of our employees, our clients, and the communities we serve. We challenge conventions strategically to create value for our clients, our firm and the world. We live and bring to life the concept of ‘own your tomorrow’ every day. We champion our employee strengths, guide their development, and invest in their long-term success. We hire optimistic, results-oriented, curious, innovative, and adaptable people with the desire to help our clients and one another succeed.

As a company, we were established by Chuck over 40 years ago to champion Main Street over Wall Street, and to help Americans transform themselves from earners to owners. Through advocacy and innovation, we work to make investing more affordable, accessible and understandable for all. As we enter our fifth decade, we are looking for talented, innovative and driven people who believe they can help themselves, and our clients, create a better future.

Our Culture:

Through Clients’ Eyes: https://www.youtube.com/watch?v=Qkic76FWat8

Our Opportunity:

As a Specialist, First Response Investigations you will play a key role within the External Fraud Investigations team that rolls up under the broader Financial Crimes Investigations organization. You will conduct the initial review and assessment of all fraud referrals received by the department on behalf of affected Schwab clients.

What you’ll do:

  • Ensure that initial fraud referrals submitted to the department are reviewed thoroughly and then prioritized and routed to the appropriate team for further investigation and resolution in a timely manner
  • Conduct fraud investigations on behalf of affected clients, which includes telephonic interviews, initial forensic research and other duties related to external fraud investigations
  • Manage the fraud referral email box
  • Assist in responding to incoming emails
  • Help support the fraud hotline, answering inbound calls from clients and business partners
  • Interact with our most significant business partners including: ID Theft, Customer Verification & Research Center, Cashiering and Operations on a daily basis

What you have:

  • Membership in the International Association of Financial Crimes Investigators (IAFCI) is supported and encouraged
  • At least 1 - 5 years of professional experience working in a fraud, compliance or risk environment within the Financial Services industry or financial investigations experience in Federal, State or local law enforcement
  • Ability to make strong individual contributions to the development of high functioning and effective teams.
  • Ability to work independently
  • Strong skills related to individual case/workload management Ability to work cooperatively with peers and other business units
  • Solid written and verbal communication skills with a demonstrated ability to communicate effectively with peers and clients
  • Ability to maintain strict adherence to regulatory guidance regarding Suspicious Activity Report filings as they relate to fraud as well as internal compliance standards and guidelines
  • Demonstrates sound judgment and decision making in situations involving risk to our clients and the firm
  • Demonstrated ability to act decisively in making risk-based, informed decisions while working in a regulatory and/or criminal investigations environment
  • Exhibits sound analytical ability, investigative methodology and problem-solving skills
  • Strong time management skills
  • Ability to analyze issues and develop problem solving methodology with minimal guidance
  • Exceptional client focus; ability to effectively and quickly build relationships and establish trust, respect, competence and confidence
  • Results-oriented
  • Investigative experience a plus
  • Customer service experience a plus
  • BS/BA degree a plus
  • Certified Fraud Examiner (CFE), Certified Anti Money Laundering Specialist (CAMS) and related designations a plus
  • Securities license a plus

What you’ll get:

  • Everyday Wellness: Healthy Rewards, Onsite Fitness Classes, Healthy Choices, Wellness Champions
  • Financial Fitness: 401k Match, Employee Discounts, Personalized advice, Brokerage discounts
  • Work/Life Balance: Sabbatical, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer
  • Inclusion: Employee Resource Groups, Commitment to diversity, Strategic partnerships
  • Not just a job, but a career, with an opportunity to do the best work of your life

 


Learn more about Life@Schwab.


Charles Schwab & Co., Inc. is an equal opportunity and affirmative action employer committed to diversifying its workforce. It is Schwab's policy to provide equal employment opportunities to all employees and applicants without regard to race, color, religion, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), gender identity or expression, national origin, ancestry, age, disability, legally protected medical condition, genetic information, marital status, sexual orientation, protected veteran status, military status, citizenship status or any other status that is protected by law.


Position Located In:CO - Lone Tree
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Brokerage Products: Not FDIC Insured • No Bank Guarantee • May Lose Value

Charles Schwab & Co., Inc. is an equal opportunity and affirmative action employer committed to diversifying its workforce. It is Schwab's policy to provide equal employment opportunities to all employees and applicants without regard to race, color, religion, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), gender identity or expression, national origin, ancestry, age, disability, legally protected medical condition, genetic information, marital status, sexual orientation, protected veteran status, military status, citizenship status or any other status that is protected by law. Schwab also does not discriminate against applicants or employees because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant.

At Schwab, we believe that every employee, through their diverse abilities and experiences, can contribute to our growth, innovation and client loyalty. We embrace diversity and are committed to providing equal opportunity to all employees and applicants. If you have a disability, and require reasonable accommodations in the application process, call Human Resources at 800-725-3535. We will be happy to assist you. Schwab will only share your accommodation request with those individuals who have a specific need to know. The request for an accommodation will not affect Schwab’s hiring decisions. All other submissions should be performed online.

The Charles Schwab Corporation provides a full range of securities, brokerage, banking, money management, and financial advisory services through its operating subsidiaries. Its broker-dealer subsidiary, Charles Schwab & Co., Inc. (“Schwab”), Member SIPC , offers investment services and products, including Schwab brokerage accounts. Its banking subsidiary, Charles Schwab Bank (member FDIC and an Equal Housing Lender), provides deposit and lending services and products.