Charles Schwab AML Compliance Investigator - Sr. Specialist in Lone Tree, Colorado
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.
The position is within the AML Compliance Department, part of the Financial Crimes Investigations (FCI) 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 FCI 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.
The AML Compliance Investigator-Sr. Specialist is expected to conduct proactive investigations with the goal of developing cases to successful and timely conclusions.
What you’ll do:
Perform all of the core functions of the AML Investigations position, which includes: review of escalated cases for suspicious activity; conduct research using Schwab systems, third party systems and open source media; maintain knowledge of AML red flags and industry trends; demonstrated ability to meet individual proficiency targets
Make independent decisions regarding AML investigations and workload in support of AML Monitoring Specialists / Investigators
Provide updates to Management regarding ongoing cases, including presentation of case investigation findings to Senior Management and/or Officers
Effectively summarize verbally and in writing, investigation notes and conclusions
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:
A bachelor’s degree or equivalent work experience in the brokerage, bank, and/or AML Compliance industries
High level working knowledge of AML/BSA policies, regulatory requirements, and trends within the brokerage and bank industries
Advanced verbal, written and presentation verbal communications skills
Strong understanding of various banking and/or brokerage products
Demonstrated decision making and organizational skills
Effective analytical skills and demonstrated initiative and creativity in problem solving
Ability to work well under pressure, while remaining flexible, and stay motivated in a repetitive work environment
Excellent PC skills including experience working with spreadsheets and database management systems
FINRA Series 7 or 99 licensing is preferred
Certified Anti-Money Laundering Specialist (CAMS) certification is preferred
What you’ll get:
Everyday Wellness: Healthy Rewards, Onsite Fitness Classes, Healthy Choices, Wellness Champions
Financial Fitness: 401k Match, Employee Discounts, Personalized advice, Brokerage discounts
Work/Life Balance: Sabbatical, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer
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 at http://www.aboutschwab.com/careers/lifeatschwab/%22 .
Charles Schwab & Co., Inc. is an equal opportunity/affirmative action employer committed to diversifying its workforce. All applications are considered without regard to race, color, religion, sex, sexual orientation, national origin, age, disability, protected veteran status (disabled veterans, recently separated veterans, active duty wartime or campaign badge veterans, Armed Forces service medal veterans), or based on any individual’s status in any group or class protected by applicable federal, state or local law.
Position Located In: CO - Lone Tree