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Senior Fraud Investigative Analyst - Req. 1804332


Job Summary:

Under limited supervision, uses specialized knowledge and skills in securities and/or banking industry compliance obtained through experience, specialized training and/or certification to implement fraud program requirements in compliance with various rules and regulations. Leads projects of moderate scope and complexity and serves as a technical advisor to various business lines, with direct reporting to the enterprise fraud lead. Resolves or recommends solutions to complex problems, with the ability to draft detailed documentation. Extensive contact with internal customers is required to identify, research and resolve problems.


Essential Duties and Responsibilities:

  • Coordinate across compliance, operations, technology and business personnel to effectively implement and test fraud-related controls.
  • Devise and analyze metrics and prepare senior management-level reports related to key measurements of the enterprise fraud program.
  • Prepare and lead fraud-related trainings of targeted divisions and functional units within the Firm.
  • Develop and administer tailored policies and procedures to mitigate the firm’s fraud risk.
  • Directly participate in and provide necessary support for special projects and initiatives as assigned.
  • Investigate potentially suspicious activity that may arise from account surveillance, branch escalations, risk alerts, regulatory investigations, and matters otherwise escalated to the Fraud Group by the Business, Compliance, Legal, Risk or other Firm divisions where account transactional activity is at issue.
  • Conduct appropriate due diligence related to the potential suspicious activity through the review of client background information and review of securities and/or monetary transactions.
  • Conduct due diligence searches in various third party and internal databases.
  • Prepare Suspicious Activity Reports, as appropriate.
  • Monitor regulatory developments and industry trends to facilitate incorporation into the Firms’ enterprise-wide fraud program.
  • Develop documentation related to various fraud issues to enhance corporate policies and/or procedures.
  • Performs other duties and responsibilities as assigned.


Knowledge of:
  • Fraud-related controls, policies, and procedures.
  • Inherent fraud risks associated with brokerage/banking industry.
  • Concepts, practices and procedures of securities industry and/or banking compliance reviews.
  • Fundamental investment concepts, practices and procedures used in the securities industry.
  • Principles of banking and finance and securities industry operations.
  • Financial markets and products. 
Skill in:
  • Administering fraud-related controls, with associated policies and procedures. 
  • Analyzing transactional activity to identify suspicious transactions.  
  • Developing and delivering technical training to others.
  • Identifying and applying appropriate compliance monitoring procedures and tests.
  • Developing senior management-level metrics and reports.
Ability to:
  • Gather information, identify linkages and trends and apply findings to assignments.
  • Interpret and apply industry-standard fraud controls and identify and recommend compliance changes as appropriate.
  • Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
  • Communicate effectively, both orally and in writing.
  • Work independently as well as collaboratively within a team environment.
  • Provide a high-level of customer service to internal and external clients.
  • Establish and maintain effective professional working relationships at all levels of the organization.
  • Handle highly confidential information professionally and with appropriate discretion.
Educational/Previous Experience Requirements:
  • Bachelor’s Degree from a four-year college or university in a related field and 3 - 5 years of Fraud or AML investigatory and analysis experience. 
  • CFE preferred
  • CAMS or the ability to obtain with six months of hire