Description: Westlake - TX, TX2050R, 2050 Roanoke Road, 76262-9616
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 Risk Management Department coordinates the firm's compliance efforts, and performs an advisory, monitoring, testing, and education role to promote a culture of compliance throughout the firm. The Financial Crimes Risk Management (“FCRM”) group, comprised of Fraud Investigations and BSA / AML is a part of the Risk Management organization. FCRM’s goals are to safeguard the firm’s assets and make Charles Schwab the most trusted leader in the financial industry. We are looking for a Senior Team Manager to conduct investigations of Investment Advisors that are on the AS Schwab Platform in addition to reviews of alternative investments that are, or will be, custodied at Schwab. Additional responsibilities include taking an active role in and facilitating weekly calls to review the status of and recommendations related to current investigations. This individual will also be responsible for communicating results and action steps with key business partners and Oversight partners. In addition a Senior Team Manager is expected to be able to perform and manage high quality fraud investigations in an efficient manner with minimal supervision and guidance. A Senior Team Manager will be responsible for conducting external fraud investigations, engaging in asset recovery efforts and providing resolution for claims of unauthorized activity perpetrated against Schwab clients. In addition to conducting full investigations and resolving reported fraud cases, the Senior Team Manager will be responsible for preparing appropriate regulatory filings, working with law enforcement and industry peers, and identifying emerging fraud trends. What you’ll do: Lead major case investigations involving high profile/complex case(s); research, collect and document all necessary evidence; compose comprehensive, high level investigative reports, summaries, and law enforcement referral letters & packages that clearly document the facts of a fraud event and provide the evidence required for law enforcement and criminal prosecutors to pursue a criminal complaint; establish and build a referral network of industry peers and law enforcement professionals. Present case overviews to management and peers (internal & industry); proactively update manager on major, high profile, and/or high loss cases Demonstrate excellent communication skills, with emphasis on interviewing/interrogation techniques Prepare Suspicious Activity Reports (SAR) in a timely manner with minimal errors/edits As part of the investigative process, identify risk and control gaps & communicate findings to management. Propose updates to guidelines and procedures as necessary Maintain active caseload at an acceptable level Investigations come from the review of touch points: FINRA and SEC actions Escalations from other compliance departments Escalations from Sales and Service Work closely with Sales and Service during investigation process Work closely with AML/FI, CREG and SAN Governance What you have: At least 5 - 7 years of professional experience working in a fraud, compliance or risk environment of the financial services industry or financial investigations experience in Federal, State or local law enforcement. Investigative experience a plus. Customer service experience is a plus Series 7, 9, 10 and/or 24 preferred Possess at least 3 years of managing a team Certified Fraud Examiner (CFE), Certified Anti Money Laundering Specialist (CAMS) and related designations a plus Proven expertise in financial fraud investigations Possess an in-depth understanding of CSC’s products and procedures, with in-depth expertise in cashiering systems and controls, client authentication, IWIN policies and procedures related to the customer service channel Ability to multi-task and work in high volume, high pressure environment Excellent written & oral communication skills Demonstrate leadership, inspires colleagues and adapts to change Demonstrate ability to author and update department guidelines and procedures Knowledge of alternative investments, organizational policies and procedures, products and services strongly desired Successful candidate must have strong research, analytical and problem resolution skills; strong interpersonal, influencing and facilitation skills; excellent time and resource management skills; and strong oral and written communication skills Strong PC skills in MS Office suite, especially Excel, preferred PC skills in internal Schwab applications a plus Bachelor's degree or equivalent experience 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.
Schwab is committed to building a diverse and inclusive workplace where everyone feels valued. As an equal employment opportunity employer, our policy is to provide equal employment opportunities to all employees and applicants without regard to any status that is protected by law. (Please click here to see policy.) Schwab is also an affirmative action employer, focused on advancing women, minorities, veterans, and individuals with disabilities in the workplace. We believe diversity and inclusion are part of our success as a company and our purpose of serving every client with passion and integrity.
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Job Specifications Relocation Offered?: No
Work Schedule: Days
Languages: English - spoken
Current Licenses / Certifications: FINRA Series 24, FINRA Series 10, FINRA Series 7, FINRA Series 9
Relevant Work Experience: Financial Services-6+ yrs, Regulatory, Financial Services-2-5 yrs, Risk Analysis, Compliance
Position Located In: AZ - Phoenix, TX - Westlake
Job Type: Full Time
Activation Date: Friday, April 12, 2019
Expiration Date: Tuesday, April 30, 2019
Description: Westlake - TX, TX2050R, 2050 Roanoke Road, 76262-9616