Note: The job is a remote job and is open to candidates in USA. TD Bank is one of the world's leading global financial institutions and is the fifth largest bank in North America. They are seeking a Financial Crime Risk Lead Investigator to lead complex investigations related to financial crime, AML, and sanctions while providing quality assurance support to the investigative team.
Responsibilities
- Leads a variety of complex investigations, including AML, Sanctions/ABAC and Financial Crime
- Applies sound methodologies to collect, preserve, and analyze evidence while staying current on global emerging risks and technology threats
- Assesses and prioritizes files and investigates assigned cases ensuring proper protocols are in place and effectively applied
- Works effectively with counterparts at other FI’s, law enforcement, Non-Profits, and others in government within prescribed protocols to maximize opportunities for information sharing and to reduce TDBFG exposure
- Conducts investigations in a professional and timely manner
- Identifies and communicates procedural weaknesses to businesses and ensures processes for remediation are in place such as following up for corrective action where applicable
- Identifies industry and typologies risk and trends for respective program areas and shares knowledge with appropriate stakeholders. This may include working with law enforcement and others in the judicial system
- Maintains and establishes working relationships with internal partners (e.g., HR, Employment Standards and Legal etc.,) for investigative purposes
- Applies sound methodologies to collect, preserve, and analyze digital evidence in accordance with investigative mandate
- Evaluates the effectiveness of processes/services and recommends/champions possible enhancements; may create new processes
- Establishes escalation processes within the investigative unit and a feedback mechanism to relevant stakeholders
- Plans and delivers efficient and cost-effective processes that support and promote the implementation of programs
- Conducts internal and external research projects; supports the development/delivery of presentations/communications; may deliver presentations to management
- Ensures a high level of service by setting clear service standards and measuring effectiveness
- Supports the annual planning cycle; confirms quarterly forecast amounts (invoices and estimates) for quarterly budget lockdown
- Adheres to enterprise frameworks or methodologies that relate to activities for respective business area(s)
- Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate
- Protect the interests of the organization – identifies and manages risks, and ensures the prompt and thorough resolution of escalated non-standard, high-risk issues
- Runs analysis at the functional or enterprise level using results to draw conclusions, makes recommendations, assesses the effectiveness of programs/policies/practices
- Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts
- Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite
- Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and ensures timely communication of issues/points of interest
- Provides thought leadership and/ or industry knowledge for own area of expertise and participates in knowledge transfer within the team and business unit
- Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques
- Leads or participates in personal performance management and development activities, including cross training within own team
- Keeps 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
- Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices
- Leads, motivates and develops relationships with internal and external business partners/stakeholders to develop productive working relationships
- Contributes to a fair, positive and equitable environment that supports a diverse workforce
- Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally
Skills
- Undergraduate degree or equivalent work experience
- 7+ years of experience
- Advanced knowledge of Bank products, systems, policies and procedures
- Advanced knowledge of criminal investigative techniques, related laws governing collection of evidence, court proceedings and financial/criminal trends
- Expert level professional role requiring in-depth knowledge/ expertise in own field of specialty and working knowledge of broader related areas
- Integrates the broader organizational context into advice and solutions within own area. Understands the industry, competition and the factors that differentiate the organization
- Leads a variety of complex investigations, including AML, Sanctions/ABAC and Financial Crime
- Applies sound methodologies to collect, preserve, and analyze evidence while staying current on global emerging risks and technology threats
- Assesses and prioritizes files and investigates assigned cases ensuring proper protocols are in place and effectively applied
- Works effectively with counterparts at other FI's, law enforcement, Non-Profits, and others in government within prescribed protocols to maximize opportunities for information sharing and to reduce TDBFG exposure
- Conducts investigations in a professional and timely manner
- Identifies and communicates procedural weaknesses to businesses and ensures processes for remediation are in place such as following up for corrective action where applicable
- Identifies industry and typologies risk and trends for respective program areas and shares knowledge with appropriate stakeholders. This may include working with law enforcement and others in the judicial system
- Maintains and establishes working relationships with internal partners (e.g., HR, Employment Standards and Legal etc.,) for investigative purposes
- Applies sound methodologies to collect, preserve, and analyze digital evidence in accordance with investigative mandate
- Evaluates the effectiveness of processes/services and recommends/champions possible enhancements; may create new processes
- Establishes escalation processes within the investigative unit and a feedback mechanism to relevant stakeholders
- Plans and delivers efficient and cost-effective processes that support and promote the implementation of programs
- Conducts internal and external research projects; supports the development/delivery of presentations/communications; may deliver presentations to management
- Ensures a high level of service by setting clear service standards and measuring effectiveness
- Supports the annual planning cycle; confirms quarterly forecast amounts (invoices and estimates) for quarterly budget lockdown
- Adheres to enterprise frameworks or methodologies that relate to activities for respective business area(s)
- Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate
- Protect the interests of the organization – identifies and manages risks, and ensures the prompt and thorough resolution of escalated non-standard, high-risk issues
- Runs analysis at the functional or enterprise level using results to draw conclusions, makes recommendations, assesses the effectiveness of programs/policies/practices
- Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts
- Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite
- Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and ensures timely communication of issues/points of interest
- Provides thought leadership and/ or industry knowledge for own area of expertise and participates in knowledge transfer within the team and business unit
- Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques
- Leads or participates in personal performance management and development activities, including cross training within own team
- Keeps 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
- Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices
- Leads, motivates and develops relationships with internal and external business partners/stakeholders to develop productive working relationships
- Contributes to a fair, positive and equitable environment that supports a diverse workforce
- Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally
Benefits
- 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 base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition.
- 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.
- 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.
- TD offers diverse career paths where you can grow your expertise and make a meaningful impact.
- We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.
- TD Bank is an equal opportunity employer.
- If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at [email protected]. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.
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