Joshua Powell
Salt Lake City,UT
Summary
Compliance and Investigations Leader with deep expertise in fraud management and regulatory risk. Proven track record in leading complex investigations and enhancing compliance programs in highly regulated sectors. Skilled in mentoring teams and providing strategic insights to senior leadership. Dedicated to fostering ethical practices and operational efficiency.
Overview
10
10
years of professional experience
1
1
Certification
Work History
Director, Head of Ethics and Compliance Investigations
Vivint
Lehi, UT
04.2023 - Current
- Directed enterprise-wide fraud prevention programs, ensuring compliance with regulatory standards.
- Managed high-risk investigations, presenting findings to executive leadership, compliance committees, and regulatory agencies.
- Built and led a skilled investigations team, fostering continuous development and accountability.
- Oversaw team operations, leveraging KPIs to ensure timely and compliant resolutions.
- Performed risk assessments and deployed data-driven countermeasures against internal and external fraud, identity theft, and account takeover attempts, leveraging analytics and process enhancements.
- Developed and coordinated crisis response protocols for major fraud events, coordinating cross-functional teams to manage risks.
- Collaborated with legal teams to align investigative protocols with regulatory and privacy standards.
- Partnered with product teams to embed fraud controls and identity verification systems, balancing risk management with user experience.
Associate – Compliance Officer
Goldman Sachs
Salt Lake City, UT
04.2021 - 04.2023
- Developed and led a team of over 20 financial crime investigators, improving investigation workflows and case closure efficiency.
- Led high-risk securities fraud investigations, analyzed suspicious transactions, enhanced compliance frameworks, and secured Suspicious Activity Report (SAR) referrals.
- Utilized open-source intelligence to identify high-risk clients, contributing to the detection of fraudulent schemes.
- Presented cases to executive management and off-boarded high-risk clients, contributing to risk reduction efforts.
- Served as the 314(b) liaison for regulatory inquiries and information sharing.
- Monitored compliance with firm policies regarding Anti-Bribery & Corruption, personal trading, private investments, outside business activities, and e-communications.
- Implemented oversight controls for client transactions to meet regulatory requirements and internal standards.
- Facilitated strategic discussions with compliance leadership on initiatives, trends, and regulatory updates.
SIU Investigator
Brighthouse Financial
Charlotte, NC
04.2019 - 04.2021
- Led comprehensive investigations across multiple domains, including identity theft, account takeovers, ACH transfer fraud, money laundering, and organized crime schemes.
- Conducted suspicious transaction reviews, executed intelligence gathering, performed targeted interviews, generated investigative reports, and submitted regulatory referrals.
- Managed the multi-channel fraud reporting system—hotline, inbox, and whistleblower case management—and improved reporting processes.
- Analyzed key compliance metrics, reinforced compliance controls, and delivered executive-level presentations.
- Developed impactful ethics training, promoted adherence to the Code of Conduct, and improved the firm's anti-fraud posture.
- Enhanced case management processes, reducing investigation cycle times, and improving case documentation quality.
SIU Investigative Analyst
Travelers
Charlotte, NC
05.2017 - 04.2019
- Oversaw complex insurance fraud investigations, managing third-party vendors for surveillance, and coordinating witness interviews.
- Conducted background checks and enhanced due diligence to ensure regulatory compliance, and reduce risk.
- Led investigative program development, collaborating with management on strategic improvements, and training delivery.
- Streamlined vendor management to boost communication, oversight, and operational efficiency.
- Analyzed data and cases to identify fraud patterns, enhancing detection and prevention strategies.
Legal Assistant
United States Attorney’s Office
Albany, NY
12.2015 - 04.2017
- Supported civil litigation by partnering with the Civil Division Chief, Assistant U.S. Attorneys (AUSAs) and federal law enforcement agencies.
- Compiled discovery materials for trial preparation; conducted in-depth legal research on case law, statutes, and federal regulations.
- Analyzed depositions and discovery documents to identify material discrepancies, and support case strategy.
- Filed pleadings and motions in Federal District Court, ensuring strict procedural compliance.
- Maintained and updated case management systems, including docket tracking, correspondence logs, and case deadlines.
Education
Bachelor of Science - Criminal Justice
SUNY Buffalo State University
Buffalo, NYSkills
- Risk assessment and mitigation
- Fraud prevention and detection
- Regulatory compliance
- Crisis management
- Strategic risk planning
- Root cause analysis
- Data-driven decision-making
- Operational process enhancement
- Team leadership and mentoring
- Cross-functional collaboration
- Policy development
Technical Tools
- NAVEX EthicsPoint
- TransUnion TLOxp
- LexisNexis Accurint
- Thomson Reuters CLEAR
- Salesforce
- Press Ganey Forsta
- Lucid Chart
- Microsoft Office Suite
Certification
• Certified Financial Crime Investigator (CFCI)
• Certified Anti-Money Laundering Specialist (CAMS)
• Certified Fraud Examiner (CFE)
• FINRA Security Industry Essentials (SIE)
• Certified Anti-Money Laundering Specialist (CAMS)
• Certified Fraud Examiner (CFE)
• FINRA Security Industry Essentials (SIE)
Training
- American Bankers Association (ABA) – FCRA Compliance
- National Insurance Crime Bureau (NICB) – Fraud Academy
- U.S. Department of Justice – National Advocacy Center
- International Association of Privacy Professionals (IAPP) – Privacy and Data Practices
Volunteer Experience
- Vivint Gives Back
- Goldman Sachs 10,000 Small Businesses
- Goldman Sachs Diversity Task Force
- Habitat for Humanity
Timeline
Director, Head of Ethics and Compliance Investigations
Vivint
04.2023 - Current
Associate – Compliance Officer
Goldman Sachs
04.2021 - 04.2023
SIU Investigator
Brighthouse Financial
04.2019 - 04.2021
SIU Investigative Analyst
Travelers
05.2017 - 04.2019
Legal Assistant
United States Attorney’s Office
12.2015 - 04.2017
Bachelor of Science - Criminal Justice
SUNY Buffalo State University