AML Compliance Investigator

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Job ID:
20180130-648
Job Category:
Compliance/Legal/Regulatory
Relevant Work Experience:
Trading-2-5 yrs, Regulatory, Banking-2-5 yrs, Compliance
Current Licenses / Certifications:
None
Position Located In:
TX - Westlake
Education:
BA/BS
Job Type:
Full Time
Description:

Westlake - TX, TX2050R, 2050 Roanoke Road, 76262-9616
Cameron Ellsworth
20180130-648

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: 

The position is within the Anti Money Laundering (AML) Compliance Department, part of the Financial Crimes Risk Management (FCRM) organization. The organization assists in the assessment of AML risk presented to our business and the affirmative commitment to comply with laws and regulations governing money laundering activities, those identified under OFAC, as well as other financial crimes. A key objective of the organization is our ongoing commitment to the corporation’s abilities to meet regulatory obligations. Responsibilities of FCRM extend beyond the AML program and include the Corporation’s Anti-Bribery and Identity Theft Program, Internal Investigations, and the safeguarding of customer and corporate assets against Fraud.

We are currently offering the opportunity for a dynamic and engaging AML professional to join our team as an AML Compliance Investigator to analyze and resolve investigations cases escalated by our transaction monitoring team or through referrals from across the firm, by researching internal client systems and other sources for possible money laundering attempts or other financial crimes against CS&Co. and Charles Schwab Bank.  The core function is to investigate suspicious activity from initial escalation through the filing of Suspicious Activity Reports (SARs).   The AML Investigator position is available in Westlake, TX.

The AML Investigator is expected to conduct proactive investigations with the goal of developing cases to successful and timely conclusions. This will include:

What you’ll do:

Perform all of the core functions of the AML Investigations position, which includes: review of escalated cases for suspicious activity; perform research using Schwab systems, third party systems, and open source media; maintain knowledge of AML red flags and industry trends; and a demonstrated proficiency in meeting individual proficiency targets

Make independent decisions regarding AML investigations and workload, supporting AML Monitoring Specialists / Investigators

Provide updates to Management on ongoing cases, including presentation of case investigation findings to Senior Management and/or Officers

Summarize, in writing, and verbally, investigation notes and conclusions. This constitutes strong writing skills

Participate in projects related to process improvement initiatives for the AML Investigations team.

Demonstrate Schwab core values within the Financial Crimes Investigations department

Adept at collaboration across Schwab and with outside parties (i.e. regulatory agencies, law enforcement, financial institutions, etc.) 

What you have:

Required Qualifications:

A bachelor’s degree or equivalent work experience in the brokerage, bank, and/or AML Compliance industries

Strong working knowledge of AML/BSA policies, regulatory requirements, and trends within the brokerage and bank industries

Desired Qualifications:

AML Compliance Investigations experience

FINRA Series 99 or 7 Registration

Certified Anti-Money Laundering Specialist (CAMS) or Certified Financial Crime Specialist (CFCS) certification preferred

Strong understanding of various banking and/or brokerage products

Strong decision making and organizational skills

Strong analytical skills and demonstrated initiative and creativity in problem solving

Ability to work well under pressure, demonstrate flexibility, and stay motivated in a repetitive work environment

Excellent PC skills including experience with spreadsheets and database management systems

Strong written and verbal communications skills 

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. 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.


Job Specifications
Relocation Offered?: No
Work Schedule: Days
Languages: English - spoken
Current Licenses / Certifications: None
Relevant Work Experience: Trading-2-5 yrs, Regulatory, Banking-2-5 yrs, Compliance
Position Located In: TX - Westlake
Education: BA/BS
Job Type: Full Time

Category:Compliance/Legal/Regulatory
Activation Date: Friday, February 9, 2018
Expiration Date: Thursday, March 1, 2018
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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.