Senior Specialist, Internal Investigations

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Job ID:
20180315-1803
Job Category:
Retirement Services
Relevant Work Experience:
Internal Audit, Financial Services-2-5 yrs, Regulatory, Banking-2-5 yrs, Compliance
Current Licenses / Certifications:
Certified Fraud Examiner - CFE, FINRA Series 7
Position Located In:
TX - Austin, AZ - Phoenix
Education:
BA/BS
Job Type:
Full Time
Description:

Phoenix - AZ, PHX8040, 8040 South 48th Street, 85044
Cameron Ellsworth
20180315-1803

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 Financial Crimes Risk Management (FCRM) organization, which includes the Fraud Surveillance & Investigations group, is a part of the Corporate Risk Management. FCRM’s goals are to safeguard the firm’s assets and make Charles Schwab the most trusted leader in the financial industry.

The Internal Investigations team within Fraud Surveillance & Investigations investigates matters involving firm employees and other associated persons. These matters include potential violations of law, securities and banking regulations, as well as internal firm policies. Conducting investigations involves reviewing various internal systems and external sources as well as coordinating and collaborating with partners in the business, compliance, technology, human resources and legal.

What you’ll do:

  • Lead and/or assist in conducting highly confidential internal investigations; research, collect and document all necessary evidence; conduct interviews of parties related to the matter; compose comprehensive, high level investigative reports or summaries documenting relevant facts and information pertaining to the matter
  • Coordinate and collaborate with subject matter experts, business management and human resources
  • Present investigative findings and case overviews to management as well as partners within compliance, legal, human resources, and the business
  • Identify process risks and control gaps and communicate findings to management.  Propose updates to guidelines and procedures as necessary

Other responsibilities may include:

  • Assist with report preparation, including gathering metrics and statistics
  • Partner with compliance personnel in response to regulator requests

What you have:

  • At least 3-5 years of professional experience within the financial services industry, preferably in compliance or financial investigations
  • Bachelor’s degree or equivalent experience
  • Excellent written and verbal communications skills
  • Excellent interviewing skills
  • Strong PC skills including Excel and Word, preferably to also include PowerPoint
  • Ability to multi-task and work in high volume, high pressure environment as well as prioritize matters based on potential risk to the firm and its clients
  • Strong focus on attention to detail
  • Successful candidate must have strong research, analytical and problem resolution skills; strong interpersonal, influencing and facilitation skills; excellent time and resource management skills
  • Series 7 license and fraud certifications (CFE, ACFCS) are a plus

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: Certified Fraud Examiner - CFE, FINRA Series 7
Relevant Work Experience: Internal Audit, Financial Services-2-5 yrs, Regulatory, Banking-2-5 yrs, Compliance
Position Located In: TX - Austin, AZ - Phoenix
Education: BA/BS
Job Type: Full Time

Category:Retirement Services
Activation Date: Wednesday, April 4, 2018
Expiration Date: Friday, June 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.