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AML Financial Crime Risk Investigator II

4 months ago

Ottawa, United States TD Bank Full time
Job Description

Work Location:

Toronto, Ontario, Canada

Hours:

37.5

Line of Business:

Financial Crime Risk Management

Pay Details:

We're committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.

Job Description:

High Risk Investigation (HRI) conducts investigation of complex and sensitive cases to determine potential suspicious activities. Within the HRI, there is a specialized unit consisting of subject matter experts and investigators with accountabilities for conducting investigation of insider risk relating to financial crime including money laundering, terrorist financing, sanctions, fraud, anti-bribery, and anti-corruption.

The AML Financial Crime Investigator II (Insider Risk) reside within the HRI unit who is accountable primarily for:

  • Conduct AML Insider Risk investigations of moderate complexity.
  • Recommending for demarket and/or freezing accounts by the appropriate investigative unit. Includes authority in applying reasonable grounds to suspect money laundering/terrorist financing, mitigating, and disrupting financial crime.
  • May at times provide quality control/review and mentorship of a team.
  • The AML Financial Crime Risk Investigator II (Insider Risk) reports to the Group Manager AML Financial Crime (Insider Risk).
  • Job Description

CUSTOMER

  • Conduct investigative analysis by collecting, assessing, and collating case file information for AML, Sanctions/ABAC & Financial Crime insider risk investigations including determination of unusual and/or suspicious activities for regulatory reporting as well as risk mitigation such as demarketing of relationships and accounts.
  • Conduct data analysis, manipulation and interpretation looking for patterns and anomalies
  • Initiate investigations and/or responds to emerging AML and Sanctions/ABAC insider risks.
  • Assist with reviewing and investigating court orders (subpoenas) related to criminal actions.
  • Assist and coordinate investigations with various law enforcement agencies as delegated.
  • Prepare and deliver AML, Sanctions/ABAC & Financial Crime and/or fraud detection/loss prevention training or updates to Bank Employees or other agencies as assigned

SHAREHOLDER

  • Develop and maintain effective relationships with key stakeholders including Corporate Security, Legal, Human Resources.
  • Patriciate in forums, working groups and other established task force while representing the HRI to ensure information is shared among various stakeholders in a timely, concise, and accurate manner.
  • Lead work streams by acting as a project lead for medium scale projects/initiatives in accordance with project management methodologies.
  • Consistently exercise discretion in managing correspondence, information, and all matters of confidentiality; escalate issues where appropriate
  • Conduct reporting and / or meaningful analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess the effectiveness of programs/ policies/ practices
  • Be knowledgeable of practices and procedures within own area of responsibility and keep abreast of emerging trends for own functional area
  • Protect the interests of the organization – identify and manage risks, and escalate non-standard, high-risk transactions / activities as necessary
  • Maintain appropriate project records, databases, and information; report to management and others on project status and updates
  • Monitor service, productivity and assess efficiency levels within own function and implement continuous process/performance improvements where opportunities exist
  • Acquire and apply expertise in the discipline, provide guidance, assistance, and direction to Analysts, Investigators and others
  • Identify, recommend, and effectively execute standard practices applicable to the discipline
  • Adhere to internal policies/procedures and applicable regulatory guidelines
  • Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts
  • Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite

EMPLOYEE / TEAM

  • Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues/ points of interest
  • Support the team by continuously enhancing knowledge / expertise in own area and participate in knowledge transfer within the team and business unit
  • Keep current on emerging trends/ developments and grow knowledge of the business, related tools and techniques
  • Participate in personal performance management and development activities, including cross training within own team
  • Keep others informed and up to date about the status / progress of projects and / or all relevant or useful information related to day-to-day activities
  • Contribute to the success of the team by willingly assisting others in the completion and performance of work activities; provide training, coaching and/or guidance as appropriate.
  • Contribute to a fair, positive and equitable environment that supports a diverse workforce
  • Act as a brand champion for your business area/function and the bank, both internally and/or externally

BREADTH & DEPTH:

  • Experienced working professional role providing services, advisory or processes / program support
  • Requires experienced, conceptual, and practical knowledge within respective area and knowledge of broader related areas
  • Accountable for own work and sometimes others; acts as an escalation point or knowledge resource for others in their own area
  • Leads projects or work streams within broader projects with moderate risk and may be accountable for ongoing activities, processes, and functional programs
  • Works within broad guidelines / policies and independently performs tasks from end to end
  • Work performed under minimal management guidance and supervision
  • Generally, reports to a Group Manager

EXPERIENCE AND / OR EDUCATION

  • Undergraduate degree or relevant professional certifications, designations, or equivalent required
  • 3+ years relevant experience
  • Working knowledge of Canadian AML legislation, requirements and guidance including but not restricted to Financial Transactions Reports Analysis Centre of Canada (FINTRAC), Office of the Superintendent of Financial Institutions (OSFI), Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA).
  • Knowledge and experience with investigating complex and sensitive ML/TF and sanctions cases relating to insider risk including reasonable ground to suspect (RGS).
  • Knowledge and experience dealing with law enforcement, corporate security, and other investigative groups.
  • Knowledge of current and emerging trends, risk and typologies of money laundering, terrorist financing and sanctions.
  • Knowledge of investigative techniques and tools including data analytics, link analysis, forensic analysis among others.
  • Excellent oral and written communication skills
  • Ability to work well independently and ability to collaborate and build positive relationships.
  • Strong decision-making, critical thinking, follow through ability, analytics skills,
  • Ability to respond to shifting priorities quickly and managing competing priorities
  • Skill in using computer applications including MS Office
  • Ability to exercise sound judgment in making decisions.

Who We Are:

TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing – and so will you.

Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical, and mental well-being goals. Total Rewards at TD includes a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs. Learn more

Additional Information:
We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development
If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we're committed to helping you identify opportunities that support your goals.

Training & Onboarding
We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.

Interview Process
We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.


Accommodation
Your accessibility is important to us. Please let us know if you'd like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you

Language Requirement:

N/A.