Abraham Gonzalez
San Diego,CA
Summary
Results-driven risk manager with over 10 years of experience in financial services. Expertise in financial operations, investments, compliance, and managed accounts. Proficient in resolving complex fraud cases and implementing effective risk mitigation strategies.
Overview
7
7
years of professional experience
3
3
Certifications
Work History
Manager- Financial Crimes Risk Management
Charles Schwab
San Diego, California
06.2021 - Current
- Actively investigate fraud in managed investment accounts. The cases often involve account takeovers, manipulative trading, and unauthorized transfer of assets.
- Conduct interviews of clients and stakeholders to determine liability and fraud loss coverage.
- Completed thousands of cases throughout my time in the role, including several high-profile investigations.
- Recovered millions of dollars for Schwab clients and advisors who have been victims of fraud.
- Continuously provide case trend updates to senior leadership and cross-functional teams that help shape organizational fraud prevention strategies.
- Submit case reports in a timely manner that ensures regulatory reporting deadlines are met.
- Presented case studies in fraud prevention educational webcasts for large audiences.
Senior Specialist - Institutional Risk Oversight
Charles Schwab
San Diego, California
01.2019 - 06.2021
- Responsible for risk oversight of Institutional investment advisor activities on Charles Schwab trading and custody platform.
- Monitored advisor management fee billing, trading activity, and high-fraud-risk transactions.
- Reviewed and decisioned exception requests against company policies to ensure compliance.
- Collaborated with legal and other internal stakeholders to mitigate substantial financial, reputational, and regulatory risks to the firm.
Education
Master of Science - Cybersecurity Engineering
University of San Diego
San Diego, CA05-2020
Bachelor of Science - Business Administration
Arizona State University
Tempe, AZ05-2011
Skills
- Cyber fraud investigation
- Asset recovery
- Regulatory compliance and reporting
- Fraud prevention strategies
- Complex case resolution
- Risk management
- Investment analysis
- Relationship management
- Conflict resolution
- Effective communication
Languages
English
Native/ Bilingual
Spanish
Native/ Bilingual
Certification
FINRA Series 7
Timeline
Manager- Financial Crimes Risk Management
Charles Schwab
06.2021 - Current
Senior Specialist - Institutional Risk Oversight
Charles Schwab
01.2019 - 06.2021
Master of Science - Cybersecurity Engineering
University of San Diego
Bachelor of Science - Business Administration
Arizona State University