Who We Are
More than 30 years ago, E*TRADE pioneered the online brokerage industry by executing the first-ever electronic individual investor trade. While the landscape of our industry has changed dramatically, our culture of innovation and drive to make online trading accessible to everyone continues to drive us forward. We believe in challenging the status quo, fostering an environment of curiosity and learning, and, above all, putting our customers first.
About the Role
This position reports directly to the Director/Senior Manager/Manager, Investigations. The Investigator researches, investigates and reports on incidents of fraud, loss, theft, and employee misconduct. Additional duties include conducting both internal and external investigations, due diligence and background investigations and recovering or placing a claim on assets lost as a result of fraud.
Investigates and documents cases of known or suspected fraud, loss, theft and employee misconduct covering all lines of business for the Firm and its entities.
Recovers on all financial loss (including theft of property) for the Firm by placing claims on assets, filing criminal charges and/or working with the Legal Department on civil issues.
Conducts public records searches and E*TRADE database searches to compile information for investigations.
Assists with Suspicious Activity Reports (SARs) for all fraud, loss and internal investigations.
Associate’s Degree and/or equivalent experience.
Minimum three (3) years of AML/Fraud Investigations experience.
Experience in conducting witness and suspect interviews.
Knowledge of regulatory reporting.
Working knowledge of the Bank Secrecy Act (BSA), the USA PATRIOT Act, and other guidance published by the SEC, FINRA, FinCEN, FATF, OFAC, and the US Treasury Department.
Professional licenses/certifications preferred (i.e., ACAMS, CFE, CIRM).
Experience in investigating customer transactions and reviewing customer information.
Ability to maintain confidentiality and handle sensitive and/or complex investigations.
Strong analytical and research skills.
Ability to work in a fast-paced and rapidly changing environment and work to tight timelines.
In depth knowledge of financial services, securities, and banking.
Strong verbal and written communications skills with attention to detail.
Strong interpersonal skills.
Proficiency with Microsoft Office applications.
Brokerage experience a plus.
We offer a competitive and comprehensive benefits package. Please visit https://www.etradecareers.com/why-work-at-etrade/employee-benefits/ to learn more about the opportunities.
E*TRADE Financial is an Equal Opportunity Employer who encourages diversity in the workplace. All qualified applicants will receive consideration for employment without regard to race, color, national origin, religion, sex, age, disability, citizenship, marital status, sexual orientation, gender identity, military or protected veteran status, or any other characteristic protected by applicable law.