[Remote] Financial Crime Risk Investigator II -Securities

Note: The job is a remote job and is open to candidates in USA. TD Bank, N.A. is a leading global financial institution committed to providing exceptional client experiences. They are seeking a Financial Crime Risk Investigator II to conduct thorough investigations related to financial crime, ensuring compliance and safeguarding the organization's financial integrity.ResponsibilitiesConducts investigative analysis by collecting, assessing, and collating case file information for AML, Sanctions/ABAC & Financial Crime investigationsConducts data analysis, manipulation and interpretation looking for patterns and anomaliesInitiates investigations and/or responds to emerging AML and Sanctions/ABAC risksAssists with reviewing and investigating court orders (subpoenas) related to criminal actionsAssists and coordinates investigations with various law enforcement agencies as delegatedPrepares and delivers AML, Sanctions/ABAC & Financial Crime and/or fraud detection/loss prevention training or updates to Bank Employees or other agencies as assignedLeads workstreams by acting as a project lead for medium scale projects/initiatives in accordance with project management methodologiesConsistently exercises discretion in managing correspondence, information, and all matters of confidentiality; escalates issues where appropriateConducts reporting and/or meaningful analysis at the functional or enterprise level using results to draw conclusions, makes recommendations, assesses the effectiveness of programs/policies/practicesBe knowledgeable of practices and procedures within own area of responsibility and keeps abreast of emerging trends for own functional areaProtects the interests of the organization – identifies and manages risks, and escalates non-standard, high-risk transactions/activities as necessaryMaintains appropriate project records, databases, and information; reports to management and others on project status and updatesMonitors service, productivity and assesses efficiency levels within own function and implements continuous process/performance improvements where opportunities existAcquires and applies expertise in the discipline, provides guidance, assistance, and direction to Analysts, Investigators and othersIdentifies, recommends, and effectively executes standard practices applicable to the disciplineAdheres to internal policies/procedures and applicable regulatory guidelinesKeeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impactsMaintains a culture of risk management and control, supported by effective processes in alignment with risk appetiteParticipates 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 interestSupports the team by continuously enhancing knowledge/expertise in own area and participates in knowledge transfer within the team and business unitKeeps current on emerging trends/developments and grows knowledge of the business, related tools and techniquesParticipates in personal performance management and development activities, including cross training within own teamKeeps others informed and up to date about the status/progress of projects and/or all relevant or useful information related to day-to-day activitiesContributes to the success of the team by willingly assisting others in the completion and performance of work activities; provides training, coaching and/or guidance as appropriateContributes to a fair, positive and equitable environment that supports a diverse workforceActs as a brand champion for your business area/function and the bank, both internally and/or externallySkillsUndergraduate degree or equivalent work experience3+ years experience3+ years' experience in a Broker-Dealer and/or Securities related investigations roleThorough understanding of Securities products such as Fixed Income, Foreign Exchange, Prime Brokerage, Equities, Low Priced Securities, etcKnowledge of market abuse typologies such as insider trading, market manipulation, front running, and layering/spoofingKnowledge of financial industry products, policies, and procedures that involve Institutional Clients, Broker-Dealers, and Securities related InvestigationsUnderstanding of regulatory requirements including FINRA, SEC, and applicable AML/BSA regulationsAbility to manage multiple investigations simultaneously while meeting deadlines in a fast-paced environmentStrong critical thinking and problem-solving skills with attention to detailExperience reviewing trading activity, transaction patterns, and customer behavior to identify potential misconduct or suspicious activityAbility to analyze large data sets and document investigative findings in a clear, concise, and defensible mannerStrong written and verbal communication skills, including the ability to prepare detailed investigative reports and present findings to managementExperience working with surveillance systems, case management tools, and investigative platformsBenefitsBase salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan)Health and well-being benefitsSavings and retirement programsPaid time off (including Vacation PTO, Flex PTO, and Holiday PTO)Banking benefits and discountsCareer developmentReward and recognitionRegular career, development, and performance conversations with your managerAccess to an online learning platformA variety of mentoring programs to help you unlock future opportunitiesDiverse career paths where you can grow your expertise and make a meaningful impactTraining and onboarding sessions to ensure that you’ve got everything you need to succeed in your new roleAccommodations for applicants with disabilities to complete the application processCompany OverviewThe Toronto-Dominion Bank & its subsidiaries are collectively known as TD Bank Group (TD). It was founded in 1852, and is headquartered in Wilmington, Delaware, USA, with a workforce of 10001+ employees. Its website is https://www.td.com.