Senior Investigator, Investigations -Fraud


ETRADE is a leading financial services company and a pioneer in the online brokerage industry. Having executed the first-ever electronic trade by an individual investor more than 30 years ago, the company has long been at the forefront of the digital revolution, offering easy-to-use solutions for individual investors and stock participants. Founded on the principle of innovation and determined to level the playing field for individual investors, ETRADE delivers digital platforms, tools, and professional assistance to help investors and traders meet their near-and long-term investing goals. The Company provides these services both online and through its network of customer service representatives and financial consultants - over the phone at two national branches and in-person at 30 ETRADE branches.


This position reports directly to the Director/Senior Manager, Investigations. The Senior Investigator researches, investigates and reports on incidents of fraud, loss, theft and employee misconduct. Additional duties include conducting both internal and external investigations, due diligence and background investigations and recovering or placing a claim on assets lost as a result of fraud.

Investigates and documents cases of known or suspected fraud, loss, theft and employee misconduct covering all lines of business for the Firm and its entities.

Recovers on all financial loss (including theft of property) for the Firm by placing claims on assets, filing criminal charges and/or working with the Legal Department on civil issues.

Coordinates with law enforcement on criminal matters.

Conducts public records searches and ETRADE database searches to compile information for investigations.

Completes Suspicious Activity Reports (SARs) for all fraud, loss and internal investigations.

Identifies risk and suggests solutions to help mitigate loss. Assists with the development, implementation, and training of fraud detection/prevention systems.

Coordinates investigative activities with Legal, Compliance and other business units.

Maintains data pertaining to risks identified, fraud management and recoveries.

Assists with projects and preparing reports that communicate trends, losses, recoveries and investigation results to senior management.


Bachelor's Degree and/or equivalent experience.

Professional licenses/certifications preferred (i.e., ACAMS, CFE, CIRM).

Minimum 5 years of AML/Fraud Investigations experience.

Experience in conducting witness and suspect interviews.

Experience in drafting and filing regulatory reports.

Working knowledge of the Bank Secrecy Act (BSA), the USA PATRIOT Act, and other guidance published by the SEC, FINRA, FinCEN, FATF, OFAC, and the US Treasury Department.

Experience in investigating customer transactions and reviewing customer information.

Ability to maintain confidentiality and handle sensitive and/or complex investigations.

Excellent analytical and research skills.

Ability to work in a fast-paced and rapidly changing environment and work to tight timelines.

In depth knowledge of financial services, securities, and banking.

Strong verbal and written communications skills with attention to detail.

Strong interpersonal skills.

Knowledge of Microsoft Office applications.


We offer a competitive and comprehensive benefits package. Please visit to learn more about the opportunities.

TRADE Financial is an Equal Opportunity Employer who encourages diversity in the workplace. All qualified applicants will receive consideration for employment without regard to race, color, national origin, religion, sex, age, disability, citizenship, marital status, sexual orientation, gender identity, military or protected veteran status, or any other characteristic protected by applicable law.

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