Senior Investigative Specialist- Operations

1 week ago

Saint Louis, United States Edward Jones Full time
Want a meaningful career where you can make a difference? Edward Jones sounds perfect for you.

Collaboration. Autonomy. Opportunity. Words our headquarters associates use when talking about working at Edward Jones. Words that describe what it's like being part of a firm where everyone is aligned toward a singular focus: serving the client. And everyone is working to make the firm better together - as they grow as individuals. If these words resonate with you, we should talk.

Job Overview

Position Schedule: Full-Time

In the Financial Crimes Investigations department at Edward Jones, you will be part of a team of Investigators focused on complying with firm policies/procedures and regulations including, but not limited to BSA, USA Patriot Act, FINRA, SEC, OFAC, OFSI to support a strong anti-financial crime program (AML, Internal and External Fraud). This department partners with branch teams, other home-office departments, leadership, law enforcement, internal audit, and regulators to ensure we are meeting or exceeding regulatory obligations and firm policy while making sure our controls are appropriate, specific, and risk-based.

What you'll do...

This role is responsible for investigative research, root cause analysis and consulting regarding highly complex financial crimes transactions, policy violations and/or suspicious situations with low, moderate, and high risk. Duties include any or all of the following: conducts investigative research using appropriate investigative techniques to determine risk; performs detailed analyses to detect patterns, trends, anomalies and schemes in transactions and relationships across multiple businesses/products; develops and implements testing strategies and methodologies; evaluates the adequacy and effectiveness of procedures, processes and internal controls; reviews and analyzes investigative findings and makes recommendations based upon outcomes; drafts corrective action plans and assists in managing change to prevent/mitigate risk
  • Development and delivery of a wide range of training for team members and firm associates related to the identification of suspicious activity, investigative tools/techniques, reporting requirements and procedures, education and awareness of financial crimes
  • Expected to conduct comprehensive analysis of escalations or referrals to assess the risk of potential money laundering or suspicious activity
  • Responsible for determining whether a case can be appropriately mitigated and closed, or whether red flags still exist, and a SAR/STR is warranted.
  • If a SAR/STR is warranted, responsible for drafting the SAR narrative, population of the SAR Form and ultimately filing the SAR within the required timeframes.
  • Identify errors in judgment, delayed and/or inappropriate action could result in unreported illegal activity, theft, violation of internal firm policies, or internal fraud which could bring about regulatory scrutiny, penalties, and fine
  • Review account activity and client behavior to identify trends with client accounts, or the activity of both the Financial Advisor and branch staff by performing account and customer reviews of historic behavior and detecting anomalous activity
  • Review high risk events such as incoming criminal and grand jury subpoenas and analyze related account activity to determine if there is a reportable event.
  • Perform enhanced due diligence (i.e., background reviews) and document results in order to mitigate risk posed by high-risk clients by utilizing industry resources and vendor tools
  • Expected to maintain working knowledge and enforce the Firm's Financial Crimes Policies. Enforcement of policy could include account restrictions, prohibition of individual/business types or assets due to the elevated AML/Sanctions risk. These enforcements could include direct communication with the branch team on the firm's policy and impact to their practice.
  • Primary responsibility for ensuring compliance with sanctions screening program as required by OFAC, FinCEN, and BSA regulations and internal watchlists in order to detect and report suspicious customers, transactions or securities.


At Edward Jones, we value and respect our associates and their contributions, and we recognize individual efforts through a rewards program that promotes a long-term career, financial security and well-being. Visit our career site to learn more about our total compensation approach, which in addition to base salary, typically includes benefits, bonuses and profit sharing. The salary range for this role is based on national data and actual pay is based on skills, experience, education, and other relevant factors for a potential new associate:

Hiring Minimum: $70659
Hiring Maximum: $116516

Skills/Requirements

What you'll need...
  • High school diploma or equivalent is required. Bachelor's degree preferred.
  • Four or more years of brokerage or financial services industry or related experience with a focus on fraud, BSA/AML investigations, audit, or risk management strongly preferred.
  • Knowledge of brokerage operations, banking operations, risk management, investigations, forensic accounting, business, finance, fraud or anti-money laundering a plus.
  • Must have strong working knowledge of major Operations and Compliance functions, specifically the movement of funds and securities and related regulations.
  • Requires knowledge of BSA/AML and Sanctions Firm Policy, applicable regulations, audits, risk management and internal controls.
  • CAMS, CFE or other equivalent industry certification/license required or to be obtained within 12 months in role.

Candidates that live within in a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office three days per week, with preference for Tuesday through Thursday.

Awards & Accolades

At Edward Jones, we are building a place where everyone feels like they belong. We're proud of our associates' contributions to the firm and the recognitions we have received.

Check out our U.S. awards and accolades: Insights & Information Blog Postings about Edward Jones

Check out our Canadian awards and accolades: Insights & Information Blog Postings about Edward Jones

About Us

Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500¹ company where people come first. With over 8 million clients and 19,000 financial advisors across the U.S. and Canada, we're proud to be privately-owned, placing the focus on our clients rather than shareholder returns.

Behind everything we do is our purpose: We partner for positive impact to improve the lives of our clients and colleagues, and together, better our communities and society. We are an innovative, flexible, and inclusive organization that attracts, develops, and inspires performance excellence and a sense of belonging.

People are at the center of our partnership. Edward Jones associates are seen, heard, respected, and supported. This is what we believe makes us the best place to start or build your career.

View our Purpose, Inclusion and Citizenship Report.

1Fortune 500, published June 2023, data as of December 2022. Compensation provided for using, not obtaining, the rating.

Edward Jones does not discriminate on the basis of race, color, gender, religion, national origin, age, disability, sexual orientation, pregnancy, veteran status, genetic information or any other basis prohibited by applicable law.

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