Ally Invest Fraud Investigator

The Opportunity

The Ally Invest Fraud Investigator works with the various teams within operations to investigate and deter fraud against Ally Invest.

This role requires the ability to conduct in-depth research of complex situations and provide clear documentation of all findings.

Direct interaction with internal clients, external providers, regulators and internal support staff will be a part of the candidate's everyday routine.

Exceptional customer service, relationship building, communication and writing skills along with analytical acumen are essential in this role.

A continuous improvement mindset is also a critical part of this role.

The Work Itself

• Utilize sound judgement and knowledge of financial investigative tools / techniques to establish an investigate plan and conduct investigations
• by gathering facts and evidence, performing research and analysis and documenting findings. Investigations involve handling all aspects of the investigation and normally require detailed analysis and research to resolve issues.
• Initiate correspondence to customers and other financial institutions to facilitate investigation and recover funds.
• Perform a series of reviews (including detailed link analysis) utilizing various tools and reports to identify potentially fraudulent activities on new / existing Ally Invest accounts.
• Provide requested information to regulatory agencies (FINRA, SEC, Etc.) and internal / external auditors, as needed.
• Responsible for reviewing large data sets to discover transaction patterns and filter for targeted information using traditional as well as
• predictive / advanced analytic methodologies.
• Provide feedback and maintenance of adequate documentation to support governance for fraud.
• Maintain current knowledge and awareness of investigative fraud techniques, privacy laws, broker-dealer regulations, and investigation
• handling policy and procedures.
• Identify opportunities to improve fraud prevention and detection strategies.

The Skills You Bring

• 1+ year of experience in a brokerage or investment firm required
• Strong understanding of trading and trading concepts highly preferred
• FINRA Series SIE, 7 & 63 or 65 / 66 required
• FINRA Series 24 preferred
• Experience with regulatory filing procedures and awareness of BSA as it aligns to investments preferred
• Certifications in area of specialization preferred (CFE, CISSP, CAMS, CRCM)

How We'll Have Your Back

Ally's compensation program offers market-competitive base pay and pay-for-performance incentives (bonuses) based on achieving personal and company goals.

Our Total Rewards program includes industry-leading compensation and benefits plus additional incentives that are designed to meet your needs and those of your family so you can get the most out of your career and your life, including :

• Time Away : 11 paid holidays, 20 paid time off days, and 8 hours of volunteer time off, yearly (paid time off is prorated based on start date)
• Planning for the Future : plan for the near and long term with an industry-leading 401K retirement savings plan with matching and company contributions, student loan pay downs and 529 educational save up assistance programs, tuition reimbursement, employee stock purchase plan, and financial learning center and financial coach access.
• Supporting your Health & Well-being : flexible health and insurance options including medical, dental and vision, employee, spouse and child life insurance, short- and long-term disability, pre-tax Health Savings Account with employer contributions, Healthcare FSA, critical illness, accident & hospital indemnity insurance, and a total well-being program that helps you and your family stay on track physically, socially, emotionally, and financially.
• Building a Family : adoption, surrogacy and fertility assistance as well as paid parental and caregiver leave, Dependent Day Care FSA back-up child and adult / elder care days and childcare discounts.
• Work-Life Integration : other benefits including Mentally Fit Employee Assistance Program, subsidized and discounted Weight Watchers® program and other employee discount programs.
• Other compensations : depending on the role for which you are considered, you may be eligible for travel allowances, relocation assistance, a signing bonus and / or equity.
11 days ago