Charles Schwab · 1 day ago
Manager, Senior and Vulnerable Investor Investigations
Southlake, TX, US
Full-time
Hybrid
Mid, Senior Level
$75K/yr - $115K/yr
2+ years expCharles Schwab is committed to empowering employees to make an impact on their careers while transforming the finance industry. The Senior and Vulnerable Investor Investigations Manager is responsible for investigating incidents of potential elder financial exploitation and working closely with stakeholders to protect vulnerable clients and recover assets.
Financial Services
No H1B
Responsibilities
Investigate incidents of potential elder financial exploitation or diminished financial capacity with respect to SVI clients
Conduct investigations into incidents of potential elder financial exploitation, scams and diminished financial capacity
Work to protect and recover client assets, and report suspicious activity to local, state and federal authorities
Promote awareness of risks faced by SVI clients and encourage escalation of relevant incidents to SVI Investigations
Work with firm personnel, clients, and their families to reduce risk going forward
Build effective partnerships and work in close cooperation with internal and external stakeholders
Conduct investigations in compliance with firm policies and applicable regulations
Qualification
Required
2-4 (+) years' work experience in one or more of the following: elder financial exploitation, fraud investigation and prevention, AML/BSA detection and investigation, risk management, investigations, law enforcement, and financial services
Passion for assisting clients
Experience communicating with senior and vulnerable investors
Experience resolving client complaints or similar escalations
Skilled working closely with internal business partners such as Branches, Move Money, ID Theft, Legal and Compliance
Experience working with external entities such as law enforcement, APS agencies, state securities regulators
Experience working with external financial institutions for recovery of funds lost from custody and investigative research
Knowledge of estate planning and trust documentation
Ability to work independently, capable of meeting strict deadlines, and demonstrate excellent time management skills
Experience preparing and filing Suspicious Activity Reports (SAR) within regulatory standards and timelines
Excellent verbal, written and analytic skills
Knowledge of financial crimes investigation tools. Examples include: GIACT, FRA, CLEAR and Lexis Nexis
Knowledge of FINRA Rule 2165 and related state securities legislation
Knowledge of fraud or AML/BSA policies, regulatory requirements, red flags and trends within brokerage and banking industries
Preferred
Bachelor's Degree is preferred (but not required)
Experience with a securities broker-dealer is preferred (but not required)
Active and valid Series 7/63 & 9/10 a plus
Certified Financial Crime Specialist. CFE, and/or ACAMS Certification a plus
Company
Charles Schwab
We have plans for every turn you take.
10001+ employees
Funding
Current Stage
Late StageLeadership Team
J
Jim McGreevy
Senior Project Manager
Recent News
2025-10-04
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