Senior Analyst - Client Risk Prevention

This is a Fully Remote Job

1. About Our Client:

The organization operates within the financial services sector, focusing on wealth management and risk oversight. It addresses challenges related to fraud, financial exploitation, and vulnerable client protection by providing specialized risk management and investigative services. The organization supports advisors and business partners in managing complex risks, aiming to safeguard clients and maintain regulatory compliance.

2. About the Opportunity:

The Senior Analyst - Client Risk Prevention plays a critical role in managing and investigating incidents of fraud and financial exploitation within wealth management. This position serves as a central resource for intake and case management, offering expert guidance to advisors and internal teams. The role contributes to protecting clients and mitigating financial risks by conducting thorough investigations and facilitating collaboration across legal, compliance, and risk functions.

3. Responsibilities:

• Serve as centralized intake and subject matter expert for potential fraud and client exploitation cases
• Conduct comprehensive investigations and monitoring of fraudulent activities
• Manage a high volume of cases efficiently and effectively
• Prepare detailed written analyses and maintain documentation in case management systems
• Communicate clearly with financial advisors and associates to gather information and coordinate reviews
• Respond to documentation requests from government agencies
• Assist in developing and maintaining training materials, procedures, and client resources
• Collaborate with legal, compliance, and risk teams to support business risk objectives
• Track metrics and identify trends to improve processes and efficiency
• Utilize research and transaction monitoring tools to detect fraudulent activity
• Build and maintain trusted relationships within the department

4. Requirements:

• Bachelor’s degree or equivalent experience in securities or retail banking industries
• Minimum five years of experience in operational risk, financial investigations, or financial services
• Ability to adapt to evolving intervention techniques and procedures
• Strong time management skills to prioritize high volumes of cases
• Excellent analytical, problem-solving, organizational, and communication skills
• Proficiency with Microsoft Word, Excel, Outlook, and PowerPoint
• Preferred qualifications include Series 7, 66, 24 licenses; Certified Fraud Examiner or Certified Financial Crimes Investigator certifications; experience with external agencies; advanced data analysis skills including SQL or Snowflake

5. Pay Range and Compensation Package:

• The expected salary range is $77,000 to $143,000 (Chicago) or $70,000 to $130,000 (Minneapolis), depending on experience, skills, and registration status
• Eligibility for discretionary variable compensation based on business and individual performance

6. Benefits & Perks:

• Comprehensive Total Rewards Program including health, dental, and vision insurance
• 401(k) program with company-matching contributions
• Life and disability insurance
• Paid time off

Equal Opportunity Statement:

Equal Opportunity Statement: Our client is an equal opportunity employer. They celebrate diversity and are committed to creating an inclusive environment for all employees. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, or national origin.

Note:

TalentHop is a recruitment partner of this role. Please note that all employment decisions, including candidate assessment, interviews, hiring, compensation, and employment terms, are made exclusively by the hiring employer.