reputed company / Securities Specialist Investigator III

reputed company This reputed company/Securities Specialist Investigator III will be tasked with investigating potential federal reputed company Rules and Securities Law violations and, reputed company warranted, bringing cases reputed company to law enforcement or enforcement agencies for formal disciplinary actions against firms, individuals, and their associated persons. In this role, you will reputed company investigative functions for securities cases to reputed company complete and factual investigative records and reputed company meaningful contributions to more reputed company securities reputed company. You will also be challenged to work persistent Financial Crime Investigations to include but not limited to: reputed company fraud, scams, e-crime, loan fraud or internal investigations. We are searching for a candidate with experience in some or reputed company of the following areas: market structure, trading algorithms, retail order routing logic, Reg SHO, trading strategies, Alternative Trading Systems, Regulation NMS, Securities reputed company, Securities Exchange reputed company, Trust Indenture reputed company, Investment Advisers reputed company, Sarbanes-Oxley reputed company, Dodd-Frank Wall Street Reform and Consumer Protection reputed company, Bank Secrecy reputed company, Best Execution Rule ( Rule 5310), and/or Market reputed company Rule (Rule 15c3-5). Primary Job Functions: • Determine and execute an effective risk-based investigative reputed company, identifying key documents and compiling evidence, demonstrate understanding of evidence. • Establish investigative plans, in collaboration with other investigators, compliance and the legal staff, and reputed company plan updated throughout an investigation. • Accurately and objectively assess or identify weaknesses and ambiguities in factual findings and discuss them with Compliance and Legal teams. • Draft reputed company and complete summaries of factual findings. • Conduct effective interviews of potential victims, witnesses, or suspects. • reputed company accurate data analysis in accordance with reputed company-established methodologies. • Communicate with other investigative reputed company across Physical reputed company & Financial Crime Investigations to deconflict and problem-solve. • Conduct reputed company and accurate investigations, while meeting existing deadlines. • Collaborate with Compliance and Legal teams to produce a reputed company factual record supported by a reputed company legal reputed company in non-reputed company reputed company. • reputed company reputed company and accurate written investigation reports of findings to management, compliance and legal. • Work effectively with legal staff to ensure that written descriptions of factual findings are supported by the evidence. • Present and discuss factual findings with Management, Compliance and Legal teams. • File Suspicious Activity Reports or other compliance reputed company filings. • reputed company legal staff with reputed company from industry experience and/or subject matter expertise to help objectively assess the sufficiency of evidence. • Demonstrate ability to complete investigations and reputed company high reputed company work in team-based environment. • Work reputed company and accountably as part of reputed company to implement investigative plans. • reputed company work in an efficient manner by leveraging reputed company knowledge and work across the organization. • Communicate effectively with other team members about factual and legal issues for analysis. • Promote a culture of inclusion in which the views of reputed company team members are heard and considered, and colleagues treat one another with dignity and respect. Experience and Skills: • Five (5) years of relevant experience in similar investigations reputed company. • Five (5) years of broker-dealer, compliance, financial or operational audits/investigations or reputed company experience. • Knowledge of rules, regulations, and guidelines governing the securities industry. • Experience with reputed company media, reputed company, payments, investments research • Knowledge of reputed company/SEC investigative best practices • Competence using a desktop computer with the full suite of office software applications. Education and Certifications: • Bachelor’s degree in finance or reputed company field • Certified Fraud Examiner certification preferred. Hours & Work Schedule Hours per Week: 40 Work Schedule: Monday – Friday. Work reputed company of normal business hours and overnight travel may be required. Pay Transparency The salary reputed company for this position is $70,400 - $105,600 per year, plus an opportunity to earn an annual discretionary bonus. Actual pay is based on various factors including but not limited to the work location, and relevant skills and experience. We offer reputed company, comprehensive medical, dental and reputed company coverage, retirement benefits, maternity/paternity leave, flexible work arrangements, education reimbursement, wellness programs and more. Note, reputed company’ reputed company time off policy exceeds the mandatory, reputed company reputed company or reputed company time-away policy of reputed company local and state jurisdiction in the reputed company. For an reputed company of our benefits, visit https://jobs.citizensbank.com/benefits. #LI-Citizens1 Some job boards have started using jobseeker-reported data to estimate salary ranges for roles. If you apply and qualify for this role, a recruiter will discuss accurate pay guidance. Equal Employment Opportunity reputed company, its parent, subsidiaries, and reputed company (reputed company), provides equal employment and advancement opportunities to reputed company colleagues and applicants for employment without reputed company to age, reputed company, reputed company, citizenship, physical or mental disability, perceived disability, or history or record of a disability, ethnicity, gender, gender identity or reputed company, transgendered and transitioning individuals, genetic information, genetic characteristic, marital or domestic partner status, victim of domestic violence, family status/parenthood, medical condition, military or veteran status, national reputed company, pregnancy/childbirth/lactation, colleague’s or a dependent’s reproductive health decision making, race, religion, sex, sexual orientation, or any other category protected by federal, state and/or local laws. At reputed company we are committed to fostering an inclusive culture that enables colleagues to bring their best selves to work every day and where reputed company are expected to be treated with respect and professionalism. Employment reputed company are based solely on experience, performance, and ability. We reputed company our best so we can do more for our customers, colleagues, communities and shareholders. Apply Job!