Manager, Fraud Surveillance

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Job ID:
20170531-2757
Job Category:
Compliance/Legal/Regulatory
Relevant Work Experience:
Trading-6+ yrs, Financial Services-6+ yrs, Trading-2-5 yrs, Brokerage Operations-2-5 yrs, Financial Services-2-5 yrs, Regulatory, Banking-6+ yrs, Brokerage Operations-6+ yrs, Banking-2-5 yrs, Compliance
Current Licenses / Certifications:
None
Position Located In:
IL - Chicago, AZ - Phoenix
Education:
HS/GED
Job Type:
Full Time
Description:

Chicago - IL, IL150SW, 150 S Wacker Dr, 60606-4111
Jose Tolentino
20170531-2757

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 Opportunity:

Our Fraud Surveillance team is seeking a dynamic and engaging professional to join our team as a Fraud Surveillance Manager to analyze and resolve alerts generated by our internal surveillance system and various reports relating to possible suspicious employee activity. 

What you’ll do: 

The primary responsibilities of the Manager will include, but not be limited to the following:

  • Located in our Chicago or Phoenix office, the Fraud Surveillance Manager will report to the Senior Manager of Fraud Surveillance.
  • Resolve alerts generated by our internal surveillance alert system, by reviewing and analyzing account transactions and activities, in order to identify suspicious activity
  • Analyze reports containing large sets of data, looking for patterns, trends and inappropriate activity, while maintaining department productivity goals
  • Research individual and account-level activity using Schwab internal systems, third party vendor systems (e.g., Lexis-Nexis, CLEAR, SBS), and open source media (e.g., LinkedIn, Facebook, internet searches,)
  • Leverage relationships of internal partners and employees to accumulate additional data
  • Conduct one-on-one training on alert monitoring to help on-board new members
  • Conduct ghosting sessions to demonstrate alert handling processes to help promote partnership with other Schwab business sectors
  • Participate in projects surrounding surveillance alert enhancements and handling
  • Effectively escalate matters for further investigation and provide additional assistance as needed 

What you have:

Qualifications:

  • Working knowledge of anti-fraud policies and regulatory requirements
  • Strong understanding of various banking and/or brokerage products and fraud trends and methodologies
  • Strong decision making and organizational skills Strong analytical and problem solving skills
  •  Ability to anticipate and respond to management and internal business partners, and follow through and complete reviews in a timely manner Ability to work well under pressure, demonstrate flexibility, and stay motivated in a repetitive work environment Demonstrated initiative and creativity in problem solving
  • Proficient with MS office (including Word, Excel, and PowerPoint), database management systems, and internet research engines

The following additional qualifications are preferred:  A Bachelor’s Degree, or equivalent work experience in the brokerage, bank, and/or compliance industries; FINRA Series 99 or 7 registration Fraud or AML certifications

What you’ll get:

  • Comprehensive Compensation and Benefits package
  • Financial Health: 401k Match, Employee Stock Purchase Plan, Employee Discounts, Personalized advice, Brokerage discounts
  • Work/Life Balance: Sabbatical, Paid Parental Leave, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer, Employee Matching Gifts Program
  • Everyday Wellness: Health and Lifestyle Wellness Rewards, Onsite Fitness Classes, Healthy Food Choices, Wellness Champions
  • 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.


Job Specifications
Relocation Offered?: No
Work Schedule: Days
Languages: English - spoken
Current Licenses / Certifications: None
Relevant Work Experience: Trading-6+ yrs, Financial Services-6+ yrs, Trading-2-5 yrs, Brokerage Operations-2-5 yrs, Financial Services-2-5 yrs, Regulatory, Banking-6+ yrs, Brokerage Operations-6+ yrs, Banking-2-5 yrs, Compliance
Position Located In: IL - Chicago, AZ - Phoenix
Education: HS/GED
Job Type: Full Time

Category:Compliance/Legal/Regulatory
Activation Date: Wednesday, June 28, 2017
Expiration Date: Friday, September 1, 2017
Apply Here
Apply Now    

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.