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
TD Securities is an investment banking that offers global transaction, M&A advisory, foreign exchange, and equity research services. It was founded in 1855, and is headquartered in Toronto, Ontario, CAN, with a workforce of 5001-10000 employees. Its website is https://www.tdsecurities.com.