Financial Crime Risk Investigative Analyst (4779)

TD Securities is one of the world's leading global financial institutions, and they are seeking a Financial Crime Risk Investigative Analyst. The role involves responding to reports of financial crime, managing investigations, and ensuring compliance with regulatory requirements while supporting risk management processes.

Responsibilities

• Respond to reports of financial crime activities from within TDBG sources and/or external parties and ensure appropriate areas (internally and/or externally) are made aware of situations requiring further attention
• Review all incoming incidents and filter investigations for financial crime or non-criminal nature and forward on to the appropriate area
• Assess and contain immediate risk (monetary and brand image) based on incoming information
• Support risk containment process by making policy/ procedural recommendations where applicable
• Acquire and apply strong knowledge of bank procedures, products, and systems to assist investigators in analyzing situations, gathering information, and required documentation and case preparation
• Run and review information against guidelines to ensure accuracy and flag potential deviations and unusual activity
• Ensure reporting is filed in accordance with regulatory requirements
• Assist with the preparation and presentation of AML, Sanctions/ABAC & Financial Crime training material
• Prioritize and manage own workload to meet service level requirements for service and productivity
• Contribute to work streams in small to medium sized projects / initiatives, following project protocols
• Prepare data/information for reporting at the functional or enterprise level
• Consistently exercise discretion in managing correspondence, information, and all matters of confidentiality; escalate issues where appropriate
• 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
• Acquire and apply expertise in the discipline, provide guidance, assistance, and direction to Support Officers and others
• Adhere to internal policies/procedures and applicable regulatory guidelines
• Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite
• 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
• Accountable for basic review of incoming files and initial analysis for case preparation and completion
• Makes judgment call on whether an investigation should take place
• Solid understanding of Bank policy and procedures for own area
• First level professional role with focus on performing support within well-defined parameters as directed
• Time horizon and nature of work is short-term focused daily/ weekly to monthly
• Provides standard reporting and/or analysis as directed
• Requires basic knowledge of the community/environment function
• Understands key business and functional drivers and processes in the context of their own work
• Generally, works within well-defined parameters under the direction of management and/or senior analysts
• Generally, reports to a Team Manager

Skills

• Undergraduate degree or equivalent work experience
• 1+ year experience

Benefits

• Health and well-being benefits
• Savings and retirement programs
• Paid time off
• Banking benefits and discounts
• Career development
• Reward and recognition programs

Company Overview