07/16/2021
Duties and Responsibilities:
• Review Suspicious Activity Reports (SARS) to assess whether they meet threshold criteria for further review (e.g. credible, actionable, subject matter is within SEC jurisdiction etc.)
• Conduct research across various systems and databases to identify prior relevant SARs, TCRs, and related investigations/exams, and locate relevant information related to SAR subjects and allegations (e.g. in TCR, HUB, IRIS, Trends, WebCRD, PAUSE, Internet/Google, Palantir).
• Analyze results and document analysis by reading source information and making reasoned connections. This analysis is qualitative and does not involve hard technology skills.
• Possess ability to parse dense SAR narratives, summarize the key, relevant allegations, and disposition SAR appropriately.
• Obtain documents and other information related to investigations and cases.
• Perform research to locate potential witnesses.
• Conduct internal, telephone, and database research.
• Manage case files.
• Draft and prepare interim reports, final report drafts, and recommendations.
• Utilize Excel files with pivot tables.
• Perform and analyze big data for trends, patterns, and associations.
• Provide detailed or summarized findings for further review as required.
• Obtain additional information from other investigative agencies/databases, both public and private.
• Other duties as assigned
Minimum Qualifications: (To perform this job successfully, an individual must be able to perform each essential duty satisfactorily.)
• Possess a bachelor’s degree in a relevant field such as business, finance, prelaw, law enforcement that has been accredited by accrediting bodies or organizations recognized by the US Department of Education
• At least 2 years’ experience as a Fraud Analyst/Financial Investigator with a specialty/background in Bank Secrecy Act and SARs.
• CFE and CAMS certification is preferred
• Ability to provide favorable credit history
• Must be a US Citizen
Knowledge, Skills and Abilities:
• Possess strong research skills and an understanding of intelligence analysis tools and techniques.
• Possess experience with open source research and analysis, including research and analysis of complex data from financial, commercial, and law enforcement systems; summarize analyses in reports.
• Adapt quickly and effectively to procedural changes; assist with other special projects.
• Possess a general understanding of the SEC, its mission, the concept of a security and registered entity, and financial crime typologies.
• Be proficient in Microsoft Word, Excel, PowerPoint, Outlook, web browsers, and PDF applications e.g. Adobe.
• Ability to apply business writing skills to summarize information on a large variety of topics; enjoys repetitive work in a fast-paced, high-volume environment.
• Problem-solving and research
• Strong attention to detail and follow-up
• Strong desire to learn new skills and processes.
• Strong Microsoft Excel experience with the ability to modify, manipulate, and create worksheets using formulas, v-lookup, and pivot tables.
• Previous experience with fraud analysis relational databases (e.g., SQL, Oracle), or other computer programming is helpful.
• Working knowledge of various public repositories of information.