Job Description

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 firms 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.

Qualifications

Knowledge of:

* Fraud-relatedcontrols, policies, and procedures.
* Inherent fraud risksassociated with brokerage/banking industry.
* Concepts, practicesand procedures of securities industry and/or banking compliance reviews.
* Fundamental investmentconcepts, practices and procedures used in the securities industry.
* Principles of bankingand finance and securities industry operations.
* Financial markets andproducts.

Skill in:

* Administeringfraud-related controls, with associated policies and procedures.
* Analyzingtransactional activity to identify suspicious transactions.
* Developing anddelivering technical training to others.
* Identifying andapplying appropriate compliance monitoring procedures and tests.
* Developing seniormanagement-level metrics and reports.

Ability to:

* Gather information,identify linkages and trends and apply findings to assignments.
* Interpret and applyindustry-standard fraud controls and identify and recommend compliance changesas appropriate.
* Work under pressure onmultiple tasks concurrently and meet deadlines in a fast-paced work environmentwith frequent interruptions and changing priorities.
* Communicateeffectively, both orally and in writing.
* Work independently aswell as collaboratively within a team environment.
* Provide a high-levelof customer service to internal and external clients.
* Establish and maintaineffective professional working relationships at all levels of the organization.
* Handle highlyconfidential information professionally and with appropriate discretion.

Educational/PreviousExperience Requirements:

* Bachelors Degree froma four-year college or university in a related field and 3 - 5 years of Fraudor AML investigatory and analysis experience.

Licenses/Certifications:

* CFE or the ability toobtain within six months of hire, or the established timeframe designated bymanager.