Fraud and Financial Risk Analyst
This is a contract role for 9 months initially but with possible extensions and possibly a permanent position.
This role is responsible for investigative research, root cause analysis and consulting regarding highly complex financial crimes transactions, policy violations and/or suspicious situations with low, moderate, and high risk. Key responsibilities include:
- May support certain operational activities including workflow.
- Expected to conduct comprehensive analysis of escalations or referrals to assess the risk of potential money laundering or suspicious activity. Responsible for seeing all aspects of the case through to completion.
- Responsible for determining whether a case can be appropriately mitigated and closed, or whether red flags still exist, and a case is needed to investigate further.
- Review account activity and client behavior to identify trends with client accounts, or the activity of both the Financial Advisor and branch staff by performing account and customer reviews of historic behavior and detecting anomalous activity.
Knowledge Requirements
- 2+ years of brokerage or financial services industry or related experience with a focus on fraud, BSA/AML investigations, audit, or risk management strongly preferred.
- Knowledge of brokerage operations, banking operations, risk management, investigations, forensic accounting, business, finance, fraud or anti-money laundering a plus.
- Strong working knowledge of major Operations and Compliance functions, specifically the movement of funds and securities and related regulations preferred.
- Knowledge of BSA/AML policies, applicable regulations, audits, risk management and internal controls preferred.
Educational Experience
- A high school diploma or equivalent is required. Bachelor's degree preferred.
Is there any overtime required? If yes, how much? No
Is there any travel required? If yes, how much? No
Duties:
As an Operations Specialist, your role is to oversee and optimize day-to-day operational processes within an organization, ensuring efficiency, compliance, and smooth workflow across various departments.
Responsibilities:
- Manage and execute operational needs of the firm in a fast-paced environment
- Demonstrate strong analytical and problem-solving skills
- Take a proactive approach to problem solving
- Handle multiple tasks simultaneously and stay organized
- Provide high-quality customer service
- Identify opportunities for process improvement
- Stay up-to-date on industry best practices and regulations
- Develop and implement operational procedures and policies
- Prepare and present operational reports to management
Qualifications:
- The ideal candidate for this role should have a passion for problem solving and a drive for finding solutions to complex challenges
- We are looking for an individual with a strong analytical background, excellent communication skills, and a proactive approach to problem solving
- This position requires an individual with the ability to handle multiple tasks simultaneously and stay organized in a fast-paced environment
Skills: Required
- Excellent Verbal And Written Communication Skills
- Problem-Solving
- Customer Service Oriented
- Operations
Additional
- Workflow
- Self Motivated
- Retail Sales
- Process Improvement
This is a contract role for 9 months initially but with possible extensions and possibly a permanent position.
This role is responsible for investigative research, root cause analysis and consulting regarding highly complex financial crimes transactions, policy violations and/or suspicious situations with low, moderate, and high risk. Key responsibilities include:
- May support certain operational activities including workflow.
- Expected to conduct comprehensive analysis of escalations or referrals to assess the risk of potential money laundering or suspicious activity. Responsible for seeing all aspects of the case through to completion.
- Responsible for determining whether a case can be appropriately mitigated and closed, or whether red flags still exist, and a case is needed to investigate further.
- Review account activity and client behavior to identify trends with client accounts, or the activity of both the Financial Advisor and branch staff by performing account and customer reviews of historic behavior and detecting anomalous activity.
Knowledge Requirements
- 2+ years of brokerage or financial services industry or related experience with a focus on fraud, BSA/AML investigations, audit, or risk management strongly preferred.
- Knowledge of brokerage operations, banking operations, risk management, investigations, forensic accounting, business, finance, fraud or anti-money laundering a plus.
- Strong working knowledge of major Operations and Compliance functions, specifically the movement of funds and securities and related regulations preferred.
- Knowledge of BSA/AML policies, applicable regulations, audits, risk management and internal controls preferred.
Educational Experience
- A high school diploma or equivalent is required. Bachelor's degree preferred.
Is there any overtime required? If yes, how much? No
Is there any travel required? If yes, how much? No
Duties:
As an Operations Specialist, your role is to oversee and optimize day-to-day operational processes within an organization, ensuring efficiency, compliance, and smooth workflow across various departments.
Responsibilities:
- Manage and execute operational needs of the firm in a fast-paced environment
- Demonstrate strong analytical and problem-solving skills
- Take a proactive approach to problem solving
- Handle multiple tasks simultaneously and stay organized
- Provide high-quality customer service
- Identify opportunities for process improvement
- Stay up-to-date on industry best practices and regulations
- Develop and implement operational procedures and policies
- Prepare and present operational reports to management
Qualifications:
- The ideal candidate for this role should have a passion for problem solving and a drive for finding solutions to complex challenges
- We are looking for an individual with a strong analytical background, excellent communication skills, and a proactive approach to problem solving
- This position requires an individual with the ability to handle multiple tasks simultaneously and stay organized in a fast-paced environment
Skills: Required
- Excellent Verbal And Written Communication Skills
- Problem-Solving
- Customer Service Oriented
- Operations
Additional
- Workflow
- Self Motivated
- Retail Sales
- Process Improvement