Compliance Analyst I, Fraud Investigator

Ally Charlotte , NC 28217

Posted 3 months ago

Position Description

This role is responsible for identifying, investigating, and responding to fraudulent activity on Ally Invest client accounts. The responsibilities may vary in each situation, but the role will have to follow procedures which may include communication with clients, requesting closure of accounts, detailed case analysis, and extensive case documentation. The associate must be able to asses and resolve complex matters and regularly work with staff at all levels of the organization to build consensus. The role will also serve as a critical component of Ally Invest's Fraud Prevention Program.

Job Responsibilities

  • Daily review of fraud alerts and reports to determine the extent of fraudulent/suspicious activity in client accounts.

  • Initiate fraud investigations casework to ensure accurate documentation and timely resolution.

  • Utilize sound judgement and knowledge of financial investigative tools/fraud techniques to establish an investigative plan.

  • Escalate to Fraud Prevention management activities, events, and trends that could present material and/or emergent fraud risk.

  • Initial point of contact for fraud inquiries from other business units including Operations, Trading, and Client Services.

  • Analyze multiple data base output files to determine the extent of fraudulent activity.

  • Report accounts to collections and facilitate write offs.

  • Monitor incoming communications to the Ally Invest Fraud mailbox and process casework accordingly.

  • Develop and maintain productive relationships with all levels of departments, managers and employees as well as regulators and other relevant external parties.


  • FINRA Series 7, 63 licenses required or the ability to obtain within 90 days.

  • 1-2 years of prior fraud prevention experience.

  • Solid understanding and exposure to financial service/trading industry.

  • Bachelor's degree or equivalent in criminal justice, business administration, security management, or other related field.

  • Experience with Microsoft Office Suite (Word, Excel, Outlook, Power Point)

  • Good organizational skills with the ability to work independently and initiate proactively.

  • Work involves sensitive and confidential information; discretion is essential.

  • Detail and results oriented and able to prioritize tasks in a multi-task environment.

  • Ability to think critically and efficiently analyze large amounts of data.

  • Individual must possess good written and oral communication skills.

  • Able to exercise independent thought and judgment and adapt to new tasks with little notice.

  • Must be a "problem -- solver" and willing to get creative to overcome challenges.

  • Strong attention to detail

Ally Overview

Ally Financial Inc. (NYSE: ALLY) is a leading digital financial services company and a top 25 U.S. financial holding company offering financial products for consumers, businesses, automotive dealers and corporate clients. Ally's legacy dates back to 1919, and the company was redesigned in 2009 with a distinctive brand, innovative approach and relentless focus on its customers. Ally has an award-winning online bank (member FDIC), one of the largest full service auto finance operations in the country, a complementary auto-focused insurance business, a growing digital wealth management and online brokerage platform, and a trusted corporate finance business offering capital for equity sponsors and middle-market companies.

Business Unit/Enterprise Function

Ally Invest, launched in May 2017, is the brokerage and wealth management offering from Ally. The offerings consist of a trading platform for self-directed investors, as well as a suite of automatically managed investment portfolios. The Ally Invest team is responsible for ensuring the technology and service of the platform with a focus on award winning customer service and outstanding user experience.

Total Rewards Information

Ally's compensation program offers market-competitive base pay and pay-for-performance incentives (bonuses) based on achieving personal and company goals. Plus, we have a flexible paid-time-off program including time off for volunteer opportunities. Ally's Total Rewards Program is designed to enrich your life at work -- and outside of it and includes:

  • Industry-leading 401K retirement savings plan with matching and company contributions

  • Wellness program encouraging healthy living with financial rewards

  • Flexible health insurance options including dental and vision

  • Pre-tax Health Savings Account with generous employer contributions

  • Pre-tax commuter benefits

  • Other work-life integration benefits including parental and caregiver leave, adoption assistance, backup child and adult/elder day care program, child care discounts, tuition reimbursement, LifeMatters Employee Assistance Program, subsidized and discounted Weight Watchers program and other employee discount programs

Ally is an Equal Opportunity Employer

We extend equal employment opportunities to qualified applicants and employees on an equal basis regardless of an individual's age, race, color, sex, religion, national origin, disability, sexual orientation, gender identity or expression, pregnancy status, marital status, military or veteran status, genetic disposition or any other reason protected by law.

Equal Opportunity Employer Minorities/Women/Protected Veterans/Disabled

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Compliance Analyst I, Fraud Investigator