Financial Crime Risk Investigator II -Securities

About the role

The Financial Crime Risk Investigator II position plays a critical role in safeguarding the organization's financial integrity by conducting thorough end-to-end investigations within Securities. This position is responsible for managing diverse internal and external investigations, utilizing expertise to establish reasonable grounds for suspecting money laundering and terrorist financing.

Responsibilities

• Conducts investigative analysis by collecting, assessing, and collating case file information for AML, Sanctions/ABAC & Financial Crime investigations.
• Collects, assesses, and collates case file information for AML, Sanctions/ABAC & Financial Crime investigations.
• Conducts data analysis, manipulation and interpretation looking for patterns and anomalies.
• Initiates investigations and/or responds to emerging AML and Sanctions/ABAC risks.
• Assists with reviewing and investigating court orders (subpoenas) related to criminal actions.
• Assists and coordinates investigations with various law enforcement agencies as delegated.
• Prepares and delivers AML, Sanctions/ABAC & Financial Crime and/or fraud detection/loss prevention training or updates to Bank Employees or other agencies as assigned.

Requirements

• Undergraduate degree or equivalent work experience 3+ years.
• Experienced, conceptual, and practical knowledge within respective area and knowledge of broader related areas.
• Thorough understanding of Securities products such as Fixed Income, Foreign Exchange, Prime Brokerage, Equities, Low Priced Securities, etc.
• Knowledge of market abuse typologies such as insider trading, market manipulation, front running, and layering/spoofing.
• Knowledge of financial industry products, policies, and procedures that involve Institutional Clients, Broker-Dealers, and Securities related Investigations.
• Understanding of regulatory requirements including FINRA, SEC, and applicable AML/BSA regulations.
• Experience reviewing trading activity, transaction patterns, and customer behavior to identify potential misconduct or suspicious activity.
• Ability to manage multiple investigations simultaneously while meeting deadlines in a fast-paced environment.
• Strong critical thinking and problem-solving skills with attention to detail.
• Strong written and verbal communication skills, including the ability to prepare detailed investigative reports and present findings to management.
• Experience working with surveillance systems, case management tools, and investigative platforms.

Qualifications

• Undergraduate degree or equivalent work experience 3+ years.
• Experienced, conceptual, and practical knowledge within respective area and knowledge of broader related areas.
• Thorough understanding of Securities products such as Fixed Income, Foreign Exchange, Prime Brokerage, Equities, Low Priced Securities, etc.
• Knowledge of market abuse typologies such as insider trading, market manipulation, front running, and layering/spoofing.
• Knowledge of financial industry products, policies, and procedures that involve Institutional Clients, Broker-Dealers, and Securities related Investigations.
• Understanding of regulatory requirements including FINRA, SEC, and applicable AML/BSA regulations.
• Experience reviewing trading activity, transaction patterns, and customer behavior to identify potential misconduct or suspicious activity.
• Ability to manage multiple investigations simultaneously while meeting deadlines in a fast-paced environment.
• Strong critical thinking and problem-solving skills with attention to detail.
• Strong written and verbal communication skills, including the ability to prepare detailed investigative reports and present findings to management.
• Experience working with surveillance systems, case management tools, and investigative platforms.

Skills

• Thorough understanding of Securities products such as Fixed Income, Foreign Exchange, Prime Brokerage, Equities, Low Priced Securities, etc.
• Knowledge of market abuse typologies such as insider trading, market manipulation, front running, and layering/spoofing.
• Knowledge of financial industry products, policies, and procedures that involve Institutional Clients, Broker-Dealers, and Securities related Investigations.
• Understanding of regulatory requirements including FINRA, SEC, and applicable AML/BSA regulations.
• Experience reviewing trading activity, transaction patterns, and customer behavior to identify potential misconduct or suspicious activity.
• Ability to manage multiple investigations simultaneously while meeting deadlines in a fast-paced environment.
• Strong critical thinking and problem-solving skills with attention to detail.
• Strong written and verbal communication skills, including the ability to prepare detailed investigative reports and present findings to management.
• Experience working with surveillance systems, case management tools, and investigative platforms.

Benefits

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Pay

$29.75 - $47.75 USD

Schedule

Hours 40