Financial Crime Risk Investigation Support Officer II (4753)

TD Securities is one of the world's leading global financial institutions and the fifth largest bank in North America. They are seeking a Financial Crime Risk Investigation Support Officer II to process alerts and fraud cases, ensuring compliance with regulatory and policy requirements while managing workloads to meet service level agreements.

Responsibilities

• Process alerts and/or fraud cases to derive regulatory and policy violations that contributed to fraud and/or AML and Sanctions/ABAC financial crime
• Ensure necessary due diligence to support the accuracy of all transactions / activities
• Prioritize and manage own workload to meet service level requirements for service and productivity
• Understand and apply operating policies and procedures
• Follow internal policies and industry regulations and operating practices in completing and recording transactions
• Escalate non-standard or high-risk activities as necessary
• Report / escalate risk issues or process gaps identified
• Identify and recommend opportunities to resolve business issues
• Review banking transactions to ensure they are within the bank and regulatory thresholds and guidelines
• Forward unusual transactions and supporting information for further review
• Perform a variety of research activities including addressing research discrepancies
• Identify opportunities to improve service delivery and support process improvement initiatives and opportunities to enhance productivity, effectiveness, and operational efficiency
• Be knowledgeable of and comply with Bank Code of Conduct
• 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 Bank code of conduct
• Protect the interests of the organization – identify and manage risks, and escalate non-standard, high-risk transactions / activities as necessary
• Produce reporting or documentation at the functional or enterprise level
• May maintain appropriate project records, databases, and information; report to management and others on project status and updates
• Identify, recommend, and effectively execute standard practices applicable to the discipline
• Adhere to internal policies/procedures and applicable regulatory guidelines
• 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
• 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
• Complete adjudications and investigations – report / escalate risk issues or process gaps identified
• Generally, reports to a Team Manager

Skills

• Undergraduate degree or equivalent work experience
• Process alerts and/or fraud cases to derive regulatory and policy violations that contributed to fraud and/or AML and Sanctions/ABAC financial crime
• Ensure necessary due diligence to support the accuracy of all transactions / activities
• Prioritize and manage own workload to meet service level requirements for service and productivity
• Understand and apply operating policies and procedures
• Follow internal policies and industry regulations and operating practices in completing and recording transactions
• Escalate non-standard or high-risk activities as necessary
• Report / escalate risk issues or process gaps identified
• Identify and recommend opportunities to resolve business issues
• Review banking transactions to ensure they are within the bank and regulatory thresholds and guidelines
• Forward unusual transactions and supporting information for further review
• Perform a variety of research activities including addressing research discrepancies
• Identify opportunities to improve service delivery and support process improvement initiatives and opportunities to enhance productivity, effectiveness, and operational efficiency
• Be knowledgeable of and comply with Bank Code of Conduct
• 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 Bank code of conduct
• Protect the interests of the organization – identify and manage risks, and escalate non-standard, high-risk transactions / activities as necessary
• Produce reporting or documentation at the functional or enterprise level
• May maintain appropriate project records, databases, and information; report to management and others on project status and updates
• Identify, recommend, and effectively execute standard practices applicable to the discipline
• Adhere to internal policies/procedures and applicable regulatory guidelines
• 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
• 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
• Complete adjudications and investigations – report / escalate risk issues or process gaps identified
• Ensure documentation that is prepared / completed is accurate and properly reflects business intentions and is consistent with relevant rules / regulations
• Generally, reports to a Team Manager

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