Senior Specialist, Senior and Vulnerable Investigations at Charles Schwab (Omaha, NE)

| Omaha, NE
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Your Opportunity
Do you have a passion for assisting clients who really need your help? Do you enjoy investigating sophisticated matters without obvious solutions? Located within the Fraud Surveillance & Investigations section of Financial Crimes Risk Management, the mission of Senior and Vulnerable Investor (SVI) Investigations is to protect SVI clients and the firm from the growing risks facing this population. We conduct investigations into incidents of potential elder financial exploitation, scams and diminished financial capacity, work to protect and recover client assets, and report suspicious activity to local, state and federal authorities. Our group partners with business divisions across the firm to promote awareness of risks faced by SVI clients, encourage advancement of relevant incidents to SVI Investigations, and work with firm personnel, clients, and their families to reduce risk going forward.

The primary role of the SVI Investigations Senior Specialist is to analyze and resolve alerts generated by our transaction surveillance systems and to review referrals submitted by other departments related to potential elder financial exploitation or diminished financial capacity with respect to SVI clients. These reviews can be sophisticated and require strong analytical skills, with the ability to collect, organize, and analyze data with attention to detail and accuracy. The SVI Investigations Senior Specialist must be familiar with bank and broker-dealer business practices and use a variety of business systems and tools in reviewing and resolving alerts. All reviews must be conducted in compliance with firm policies and applicable regulations. Successful candidates rarely have experience in all areas highlighted here, but must have a demonstrated ability to learn new skills and creatively solve problems.

Workplace Flexibility Program: We're proud to support our employees in a working approach that allows you to bring your best self to work - whether that's in the office or remote.
  • Most Schwabbies have the opportunity to voluntarily work in the office or at home based on their preference*
  • When the firm is ready to fully return to the office, employees will have the flexibility of a hybrid work environment, spending some time working remote and some time in the office.
  • Employees and managers can discuss and decide what works best for them, with additional flexibility available based on their role, business needs, and individual circumstances.
*Subject to change as Schwab is continually evaluating the current environment in order to best care for the safety and well-being of our employees.

What you are good at
The Senior Specialist will report to the SVI Investigations Team Manager and responsibilities may include (but are not limited to):
  • Analyzing and resolving SVI alerts, advancing identified risks for full investigation.
  • Reviewing and decisioning SVI referrals submitted by other departments, advancing identified risks for full investigation.
  • Performing research using Schwab systems, 3rd party systems, and open source media.
  • Placing account restrictions in compliance with applicable regulations and firm policies.
  • Using relationships with internal partners to gather additional data.
  • Educating firm personnel on strategies to reduce risk to SVI clients.
  • Identifying procedural and strategic opportunities to mitigate SVI risk, collaborating with team members and firm partners SVI initiatives.
  • Providing regular updates to management on alerts, threats, and trends.
  • Providing other assistance to the Team Manager and SVI Investigations as needed.
  • Communicating with clients regarding issues surrounding accounts.
  • As needed, occasionally support other Fraud, AML and CDD teams in detecting and investigating other suspicious activity, including account takeovers, imposters, new account fraud, trading-related activity, international activity, third-party money movement, rapid fund movement, etc.

What you have
  • 1-2 (+) years' work experience in one or more of the following: elder financial exploitation, fraud investigation and prevention, risk management, investigations, law enforcement, and financial services.
  • Passion for assisting clients.
  • Skilled working closely with internal business partners such as Branches, Move Money, ID Theft, Legal and Compliance.
  • Knowledge of estate planning and trust documentation.
  • Ability to work independently, capable of meeting strict target dates, and demonstrate excellent time management skills.
  • Excellent verbal, written and analytic skills.
  • Knowledge of financial crimes investigations tools. Examples include: GIACT, FRA, CLEAR or Lexis Nexis.
  • Knowledge of fraud or AML/BSA policies, regulatory requirements, red flags and trends within brokerage and banking industries.
  • Bachelor's Degree is preferred (but not required).
  • Experience with a securities broker-dealer is preferred (but not required).
  • Active and valid Series 7/63 & 9/10 a plus.
  • Certified Financial Crime Specialist, CFE or ACAMS Certification a plus.
More Information on Charles Schwab
Charles Schwab operates in the Fintech industry. The company is located in San Francisco, CA and Lone Tree, CO. Charles Schwab was founded in 1973. It has 22335 total employees. It offers perks and benefits such as Flexible Spending Account (FSA), Disability Insurance, Dental Benefits, Vision Benefits, Health Insurance Benefits and Life Insurance. To see all 452 open jobs at Charles Schwab, click here.
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