Charles Schwab AML Compliance Investigator in Lone Tree, Colorado


Lone Tree - CO, DENR3, 9800 Schwab Way, 80124

Pamela Ferrell


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 at 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 position is within the Anti Money Laundering (AML) Compliance Department, part of the Financial Crimes Risk Management (FCRM) 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 FCRM 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.

We are currently offering the opportunity for a dynamic and engaging AML professional to join our team as an AML Compliance Investigator to analyze and resolve investigations cases escalated by our transaction monitoring team or through referrals from across the firm, by researching internal client systems and other sources for possible money laundering attempts or other financial crimes against CS&Co. and Charles Schwab Bank. The core function is to investigate suspicious activity from initial escalation through the filing of Suspicious Activity Reports (SARs).

What you’ll do:

The AML Investigator is expected to conduct proactive investigations with the goal of developing cases to successful and timely conclusions. This will include:

  • Perform all of the core functions of the AML Investigations position, which includes: review of escalated cases for suspicious activity; perform research using Schwab systems, third party systems, and open source media; maintain knowledge of AML red flags and industry trends; and a demonstrated proficiency in meeting individual proficiency targets

  • Make independent decisions regarding AML investigations and workload, supporting AML Monitoring Specialists / Investigators

  • Provide updates to Management on ongoing cases, including presentation of case investigation findings to Senior Management and/or Officers

  • Summarize, in writing, and verbally, investigation notes and conclusions. This constitutes strong writing skills

  • 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:

Required Qualifications:

  • A bachelor s degree or equivalent work experience in the brokerage, bank, and/or AML Compliance industries

  • Strong working knowledge of AML/BSA policies, regulatory requirements, and trends within the brokerage and bank industries

Desired Qualifications:

  • AML Compliance Investigations experience

  • FINRA Series 99 or 7 licensing

  • Certified Anti-Money Laundering Specialist (CAMS) or Certified Financial Crime Specialist (CFCS) certification preferred

  • Strong understanding of various banking and/or brokerage products

  • Strong decision making and organizational skills

  • Strong analytical skills and demonstrated initiative and creativity in problem solving

  • Ability to work well under pressure, demonstrate flexibility, and stay motivated in a repetitive work environment

  • Excellent PC skills including experience with spreadsheets and database management systems

  • Strong written and verbal communications skills

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 at" .

Charles Schwab & Co., Inc. is an equal opportunity and affirmative action employer committed to diversifying its workforce. It is Schwab's policy to provide equal employment opportunities to all employees and applicants without regard to race, color, religion, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), gender identity or expression, national origin, ancestry, age, disability, legally protected medical condition, genetic information, marital status, sexual orientation, protected veteran status, military status, citizenship status or any other status that is protected by law. Schwab also does not discriminate against applicants or employees because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. At Schwab, we believe that every employee, through their diverse abilities and experiences, can contribute to our growth, innovation and client loyalty. We embrace diversity and are committed to providing equal opportunity to all employees and applicants. If you have a disability, and require reasonable accommodations in the application process, call Human Resources at 800-725-3535. We will be happy to assist you. Schwab will only share your accommodation request with those individuals who have a specific need to know. The request for an accommodation will not affect Schwab's hiring decisions. All other submissions should be performed online.

Job Specifications

Relocation Offered?: No

Work Schedule: Days

Languages: English - spoken

Current Licenses / Certifications: None

Relevant Work Experience: Risk Analysis, Compliance

Position Located In: CO - Lone Tree

Education: BA/BS

Job Type: Full Time

Category:Risk Management

Activation Date: Monday, May 14, 2018

Expiration Date: Sunday, July 1, 2018

Apply Here