Carlos Vélez, CFE
Senior Investigator
Rockwall,TX
Summary
Results-oriented Senior Investigator with exceptional data analysis, fraud detection, and interview skills. Experienced at planning and conducting routine and complex investigations, overseeing team member cases, and managing records.
Overview
12
12
years of professional experience
1
1
Certification
2
2
Languages
Work History
Senior Investigator
U.S. Department Of Labor
06.2012 - Current
- Initiate, plan, coordinate, and manage extremely broad, difficult civil and criminal investigations for the U.S. Department of Labor's Employee Benefits Security Administration (EBSA), the federal government agency responsible for planning, directing, and administering the program of enforcement that ensures maximum compliance with the Employee Retirement Income Security Act of 1974 (ERISA) and the criminal provisions of the U.S. Code as related to employee benefit plans. The investigations are focused on the analysis of employee pension and welfare benefit plan operations and the business, financial, and accounting practices of a variety of related entities (e.g. major service providers, trust departments, investment managers, insurance companies).
- Assess the fiduciary conduct and/or criminal actions of plan officials and service providers; determine the appropriateness of financial investment of plan assets; and evaluate compliance with ERISA reporting, disclosure, bonding standards, and related civil and criminal Federal and State laws.
- Select specific employee benefit plans, financial institutions, service providers, etc. for investigation based on a variety of targeting methods, enforcement policy and priorities, emerging trends, reporting and disclosure reports, patterns of improper plan transactions, information contained in the media, and other data.
- Determine areas of coverage for each investigation and the general investigative approaches to be taken including the objectives and scope of investigation, resources and time required for completion, issues to be investigated, statutory sections believed to be violated, references to relevant interpretations and regulations, required elements of proof, records to be reviewed, interviews to be conducted, information and documentation to be collected, and subpoenas to be prepared.
- Review plan administrative operations and financial control systems, financial data and appropriate records, reports, and other documents.
- Conduct or oversee interviews to determine the fiduciary conduct of officials associated with the plan, the prudence of financial investments, and the propriety of specific transactions.
- Identify specific patterns of transactions or situations which indicate imprudent investments, excessive or improper expenditures, prohibited loans, inadequate financial control systems, excessive charges by service providers, or other improper or illegal actions.
- Analyze and determine the impact of certain transactions and situations on plan operations and the present and future financial status of the plans.
- Apply and interpret applicable provisions of ERISA as well as the applicable provisions of related Federal and State civil and criminal statutes, regulations, case precedents, exemption decisions, opinions, etc.
- Develop, prepare, and/or coordinate comprehensive reports, work papers and analyses containing findings, citing applicable violations, related statutes/regulations, and substantiating conclusions.
- Develop recommendations for voluntary compliance, referral for litigation, case-closing or other course of actions.
- Negotiate with plan officials, fiduciaries, attorneys, etc. to obtain voluntary compliance, monetary restitution, and/or seeking other applicable remedial actions.
- Develop and maintain ongoing coordination with multi-agency investigative officials and a wide range of prosecutorial authorities including Assistance United States Attorneys, State Attorney Generals, and local county prosecutors.
- Provide guidance to team members on case development, alternative investigative techniques, interpretations of statutes, applicability of other Federal and State laws, etc.
- Initiate, contact and coordinate investigative activities with other Federal and State regulatory agencies when investigations involve violations of statutes administered by these agencies.
- Lead or participate in inter-agency investigative teams comprised of both EBSA investigators/auditors and enforcement staff from other regulatory agencies.
- Initiate and conduct conferences and meetings with plan officials and/or their legal and financial representatives to explain EBSA policy and procedures, provide interpretations of applicable statutes and regulations, present and justify investigative findings, and discuss the basis of proposed corrective action of violations, and the impact of policies and precedents of other regulatory agencies.
- Provide litigation support to the Department's Office of the Solicitor (SOL) and/or Department of Justice in preparing cases for litigation and developing documentary evidence.
- May serve as a witness for the Agency civil and criminal court proceedings and may testify before grand juries.
- Investigate allegations of criminal misconduct including theft or embezzlement from employee benefit plans, healthcare fraud, false statements, concealment of facts, conspiracy, money laundering, bribery, kickbacks, and coercive interference, and other ERISA and/or US Code applicable provisions.
Workforce Development Specialist
U.S. Department Of Labor
01.2012 - 06.2012
- Assessed client needs, disseminated information, facilitated access to workforce development programs, and provided employment counseling services for the for the U.S. Department of Labor's Employment and Training Administration (ETA). ETA is the agency that administers federal government job trainings and worker dislocation programs, federal grants to states for public employment service programs, and unemployment insurance benefits.
- Interpreted federal requirements and procedures to assist grant recipients in complying with regulations and guidance.
- Lead the review process of program plans to enhance the national office's understanding of grant recipients' plans to deliver services.
- Reviewed monitoring reports and finding reports to identify trends, gaps, and inconsistencies.
- Engaged in ongoing communication with grant recipients, agency staff, and regional staff to resolve grants issues during the grant lifecycle.
- Collected, organized, and interpreted data to ensure the integrity of the workforce system and performance accountability.
- Engaged in written communications sufficient to advise and consult with a variety of customers, present findings and recommendations, negotiate agreements, and secure cooperation.
- Lead the development of responses to program related questions received from grant recipients and other public inquiries.
- Provided technical assistance to grant recipients on a full range of areas including grant goals, objectives and compliance with regulations, subject matter areas related to program public law, regulations, guidance, and performance reporting.
- Applied problem-solving techniques and identified new approaches and alternatives to address or anticipate problems that were extremely complex.
- Established and maintained strong interpersonal working relationships with employees, supervisor, managers of ETA, other Federal agencies, other levels of government, organized labor, special interest groups, and organizations in private enterprise.
- Identified grantees' training and technical assistance needs and arranged for such training and/or technical assistance.
- Prepared timely, accurate, and responsive documents such as fact sheets, work plans, briefing materials, and correspondence to various internal and external audiences.
- Facilitated work development trainings for more than 50 people, resulting in improved relationships and networking.
Education
MBA - Business Administration
University of Phoenix
Dallas, TX01.2013
BBA - Business Administration
Inter American University of Puerto Rico
San Juan, PR05.1997
Skills
- Critical Thinking
- Effective Communication
- Organizational Skills
- Interpersonal Skills
- Conflict Resolution
- Adaptability and Flexibility
- Leadership Skills
- Collaborative Teamwork
- Investigation Skills
- Fraud Detection and Prevention
Accomplishments
- Recipient of the Secretary of Labor's Exceptional Achievement Award in 2021 for outstanding criminal investigative work.
- Recipient of the Dallas Regional Office Criminal Investigator of the Year Award in 2019 for outstanding criminal investigative work.
- Recipient of the Dallas Regional Office Criminal Investigator of the Year Award in 2017 for outstanding criminal investigative work.
Languages
English
Spanish
Certification
Certified Fraud Examiner, Association of Certified Fraud Examiners (ACFE) - March 31, 2016 to the present.
Work Availability
monday
tuesday
wednesday
thursday
friday
saturday
sunday
morning
afternoon
evening
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Affiliations
- Association of Certified Fraud Examiners (ACFE)
Work Preference
Work Type
Full TimeLocation Preference
On-SiteRemoteHybridImportant To Me
Work-life balanceCareer advancementHealthcare benefits401k matchFlexible work hoursWork from home optionCompany CultureQuote
There is a powerful driving force inside every human being that, once unleashed, can make any vision, dream, or desire a reality.
Tony Robbins
Software
Word
Excel
Power Point
Interests
Music
Timeline
Senior Investigator
U.S. Department Of Labor
06.2012 - Current
Workforce Development Specialist
U.S. Department Of Labor
01.2012 - 06.2012
MBA - Business Administration
University of Phoenix
BBA - Business Administration
Inter American University of Puerto Rico
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