Fraud Surveillance/AML Specialist
PEAK6 Investments, established in 1997, is a leading financial institution in Chicago with a demonstrated track record of success in proprietary trading. Specializing in inventory and risk management, PEAK6 Investments employs state of the art technology and proprietary tools and is thoroughly committed to building the next generation of automated trading systems and businesses. PEAK6 is constantly expanding its commercial focus to include leading-edge initiatives in the hedge fund, online media, retail options brokerage and institutional trading segments.
Voted Chicago's Best and Brightest Employers to Work For, four of the last five years, PEAK6 Investments offers: competitive salary, performance bonuses, and a great benefits package including: medical, dental, vision, 401K, paid vacation, sickness and disability benefits, life insurance, tuition reimbursement, along with a casual work environment and dress code and the occasional yoga class. PEAK6 currently employs over 400 professionals and is rapidly growing in scope, complexity and depth of operation.
OptionsHouse is seeking an individual with Investigation, Fraud Detection and Prevention and Anti-Money Laundering (AML) experience in the brokerage or banking industries. The role will be focused on the development and maintenance of a robust fraud detection and prevention program, the processing, identifying and investigating of system-generated suspicious transaction alerts, and responding to a variety of internal and external inquiries. The ideal candidate should also be comfortable closely interacting with many other internal departments and external organizations.
Key Skills and Responsibilities:
- Review/Investigate all information acquired from internal and external reporting sources
- Review trading activity and client accounts for fraudulent or unauthorized activity
- Make sound subjective decisions to close risky relationships, place and remove restrictions.
- Review escalations from other business departments and associations
- Undertake other projects as assigned by management
- Review checks, transactions and account changes from an analytic, forensic and investigative standpoint
- Must be able to exercise discretion in the process of identifying and resolving problems/issues relating to trading and Anti Money Laundering activity and escalate appropriately
- Suggest and implement enhancements to internal processes and additional report generation
- Prior experience in managing all aspects of an investigation, including the recovery of assets, assisting victims, interviewing suspects, preparing case summaries, writing SARs, and working with law enforcement is preferred.
- Candidate will work closely with the firm's AML Compliance Officer
- Work with account holders and investigating agencies to resolve potential issues
- Remain current on industry trends and be mindful of new tactics and methods as they are shared by national organizations that focus on fraud AML.
Requirements:
- Minimum 2-3 years of experience in fraud investigations/AML role
- Brokerage and/or banking industry experience is a must
- Knowledge of options and securities trading is required
- Demonstrated experience working with law enforcement and management
- Microsoft Excel skills are required and database management experience is desirable
- Strong organizational and prioritizing skills
- Ability to handle confidential information in a mature and professional manner
- Strong written and verbal communications with an attention to detail and ability to deal with sensitive communication appropriately
- Series 7, 63
See Job Description
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