[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. Responsibilities Conducts investigative analysis by collecting, assessing, and collating 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 Leads workstreams by acting as a project lead for medium scale projects/initiatives in accordance with project management methodologies Consistently exercises discretion in managing correspondence, information, and all matters of confidentiality; escalates issues where appropriate Conducts reporting and/or meaningful analysis at the functional or enterprise level using results to draw conclusions, makes recommendations, assesses the effectiveness of programs/policies/practices Be knowledgeable of practices and procedures within own area of responsibility and keeps abreast of emerging trends for own functional area Protects the interests of the organization – identifies and manages risks, and escalates non-standard, high-risk transactions/activities as necessary Maintains appropriate project records, databases, and information; reports to management and others on project status and updates Monitors service, productivity and assesses efficiency levels within own function and implements continuous process/performance improvements where opportunities exist Acquires and applies expertise in the discipline, provides guidance, assistance, and direction to Analysts, Investigators and others Identifies, recommends, and effectively executes standard practices applicable to the discipline Adheres to internal policies/procedures and applicable regulatory guidelines Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite Participates 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 interest Supports the team by continuously enhancing knowledge/expertise in own area and participates in knowledge transfer within the team and business unit Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques Participates in personal performance management and development activities, including cross training within own team Keeps 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 Contributes 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 appropriate Contributes to a fair, positive and equitable environment that supports a diverse workforce Acts as a brand champion for your business area/function and the bank, both internally and/or externally Skills Undergraduate degree or equivalent work experience 3+ years experience 3+ years' experience in a Broker-Dealer and/or Securities related investigations role 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 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 Experience reviewing trading activity, transaction patterns, and customer behavior to identify potential misconduct or suspicious activity Ability to analyze large data sets and document investigative findings in a clear, concise, and defensible manner 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 Base 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 benefits Savings and retirement programs Paid time off (including Vacation PTO, Flex PTO, and Holiday PTO) Banking benefits and discounts Career development Reward and recognition Regular career, development, and performance conversations with your manager Access to an online learning platform A variety of mentoring programs to help you unlock future opportunities Diverse career paths where you can grow your expertise and make a meaningful impact Training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role Accommodations for applicants with disabilities to complete the application process Company Overview The 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.