Senior Fraud Analyst OMI

Summary

C2 ALASKA, LLC

Washington, DC

The Fraud Analyst III Senior OMI actively supports the United States Securities and Exchange Commission Division of Enforcement’s Office of Market Intelligence (OMI).

Responsibilities

• Serve as an expert for all Office of Market Investigator analyst tasks and be the point person for daily questions from these resources, solve complex tasks; create and maintain a FAQ document.
• Coordinate with program analysts, accountants, and attorneys to discuss trends, issues, system enhancements, or process improvements that would enhance the efficiency and effectiveness of the analyst’s work.
• Analyze program reports to identify backlogs and trends; troubleshoot for the Data Quality Review.
• Make recommendations regarding tips that are not securities matters.
• Conduct quality reviews of work products
• Conduct workflow processing and recommend process improvement
• Provide Program support as time permits including managing contractor team meetings for data, process, and assignment dissemination.
• Supports investigations, performs standardized analyses, or create custom analyses.
• Support multiple dataset types and solutions, and a general understanding of the financial and securities markets and common fraud schemes.
• Review incoming TCRs (including tips and attachments) to assess whether they meet threshold criteria for further review (e.g., credible, actionable, subject matter is within jurisdiction, etc.).
• Draft detailed summaries of complaints of allegations of misconduct by companies and individuals and input into TCR system following specific entry guidelines.
• Prepare TCRs for external referral (file preparation, redactions, indexing, approval, transmission, documentation in system).
• Apply SEC defined processes, allocation principles, and assignment criteria, and assign TCRs for further review following specific guidance.
• Tag TCRs with product or topic codes leveraging SEC specific guidance.
• Possess a general understanding of the SEC, its mission, and the concept of a security and registered entity.
• Identify relevant subjects of interest in TCRs and input subject name, contact info, and other data into relevant fields in TCR system. Must be able to distinguish between a subject engaged in wrongdoing versus a casual reference to an individual or firm.
• Perform data quality review by reading tips and associated documents and identifying subjects and type of allegations being made; input corrections or missing information in critical data fields in the TCR system. May need to access other sources such as Factiva, Edgar, LexisNexis, CLEAR, or Google searches to validate the spelling of firm or individual name and location.
• Gather intelligence from third-party sources (e.g., GMI Analyst, Alexa, CLEAR, WebCRD, IARD, Google Searches, Thompson One) and summarize research in well-written, concise, factually sound manner; completed templates will be used by legal and account staff to analyze the tip.
• Utilize a variety of proprietary technology systems to include case management systems and various compliance, workflow, and database systems.
• Conduct research across various systems and databases to identify prior relevant complaints and related investigations/exams, and locate relevant information related to TCR 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.
• Identify themes/patters and group incoming TCRs related to similar subjects and topics.
• Other duties as assigned
  
  
  

Qualifications

• Bachelor’s Degree in a relevant field such as business, finance, or accounting acknowledged by accrediting bodies or organizations recognized by the US Department of Education.
• Master’s Degree preferred.
• Minimum six (6) years of experience as a Fraud Analyst or Financial Investigator.
• Certified Fraud Examiner (CFE)
• Ability to provide favorable credit history
  
  
  

Knowledge, Skills And Abilities

• Strong comprehensive reading skills: ability to apply business writing skills to summarize information on a large variety of topics.
• Ability to apply judgment to determine urgency of matter by reading the content and comparing substantive content to information in other systems.
• Strong organizational skills; attention to detail.
• Ability to analyze and interpret big data for trends, patterns, and associations.
• Identify and resolve duplicate TCRs.
• Ability to work effectively in an extremely pressured environment.
• Possess and use excellent oral and written communications skills.
• High proficiency in Microsoft Word, Excel, Web Browsers, and PDF applications (e.g., Adobe). Experience with creating and utilizing pivot tables.
• Experience with various fraud analysis programs and software such as Palantir, LexisNexis, Westlaw, CLEAR, ATLAS, Recommind, and any other database research tools required.
  
  
  

Physical Demands (The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.)

• While performing the duties of this Job, the employee is regularly required to sit and talk or hear. The employee may use repeated motions that include the arms, wrists, hands and/or fingers. The employee is occasionally required to walk, stand, climb, balance, stoop, kneel, crouch, or crawl. The employee must occasionally lift and/or move up to 25 pounds. Specific vision abilities required by this job include close vision.
  
  
  

Estimated Salary/Wage

Up to USD $61.00/Hr.