Responsible for the investigation of potential At-Risk Person referrals pertaining to Wealth Management clients.
Ensures thorough, timely investigations with consistent application of At-Risk Person Investigation procedures.
Proficient knowledge of regulatory, reputational, operational, and legal risks encountered in the course of investigations.
Proficient knowledge of bank systems/technology used in the course of investigations, as well as the enterprise, businesses, products, core corporate functions and bank policies.
Maintains relationships with key business partners, including Wealth Management client advisory teams, Global Risk and Legal.
Demonstrates excellent written and verbal communication skills, and provides consultation and guidance on investigative related issues to influence partners and outcomes.
Documents cases appropriately and may engage directly with regulators or law enforcement.
Responsible for documenting and referring instances of elder financial exploitation fraud for appropriate suspicious activity reporting as applicable.

Experience conducting investigations involving financial crimes, fraud, or the financial industry and/or financial institution operations and products experience.
Exceptional communication skills; exhibits confidence and clarity of message through both written and verbal correspondence.
Ability to prioritize work, effective time management, initiative, and thoroughness.
Self-starter capable of analyzing and reporting independently.
Proficient in Microsoft suite and other financial industry related software.
Bachelor’s degree in a related field or equivalent work experience is preferred.
5+ years’ experience conducting investigations, preferably in the area of financial crimes, At-Risk Persons, fraud, or the financial industry.
In depth knowledge and experience with Consumer and Broker Dealer products and services, and applicable compliance rules and regulations.

Senior Investigator, At-Risk Persons

Key skills