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.ResponsibilitiesProcess alerts and/or fraud cases to derive regulatory and policy violations that contributed to fraud and/or AML and Sanctions/ABAC financial crimeEnsure necessary due diligence to support the accuracy of all transactions / activitiesPrioritize and manage own workload to meet service level requirements for service and productivityUnderstand and apply operating policies and proceduresFollow internal policies and industry regulations and operating practices in completing and recording transactionsEscalate non-standard or high-risk activities as necessaryReport / escalate risk issues or process gaps identifiedIdentify and recommend opportunities to resolve business issuesReview banking transactions to ensure they are within the bank and regulatory thresholds and guidelinesForward unusual transactions and supporting information for further reviewPerform a variety of research activities including addressing research discrepanciesIdentify opportunities to improve service delivery and support process improvement initiatives and opportunities to enhance productivity, effectiveness, and operational efficiencyBe knowledgeable of and comply with Bank Code of ConductConsistently exercise discretion in managing correspondence, information, and all matters of confidentiality; escalate issues where appropriateBe knowledgeable of practices and procedures within own area of responsibility and Bank code of conductProtect the interests of the organization – identify and manage risks, and escalate non-standard, high-risk transactions / activities as necessaryProduce reporting or documentation at the functional or enterprise levelMay maintain appropriate project records, databases, and information; report to management and others on project status and updatesIdentify, recommend, and effectively execute standard practices applicable to the disciplineAdhere to internal policies/procedures and applicable regulatory guidelinesParticipate 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 interestSupport the team by continuously enhancing knowledge / expertise in own area and participate in knowledge transfer within the team and business unitContribute to a fair, positive and equitable environment that supports a diverse workforceAct as a brand champion for your business area/function and the bank, both internally and/or externallyComplete adjudications and investigations – report / escalate risk issues or process gaps identifiedGenerally, reports to a Team ManagerSkillsUndergraduate degree or equivalent work experienceProcess alerts and/or fraud cases to derive regulatory and policy violations that contributed to fraud and/or AML and Sanctions/ABAC financial crimeEnsure necessary due diligence to support the accuracy of all transactions / activitiesPrioritize and manage own workload to meet service level requirements for service and productivityUnderstand and apply operating policies and proceduresFollow internal policies and industry regulations and operating practices in completing and recording transactionsEscalate non-standard or high-risk activities as necessaryReport / escalate risk issues or process gaps identifiedIdentify and recommend opportunities to resolve business issuesReview banking transactions to ensure they are within the bank and regulatory thresholds and guidelinesForward unusual transactions and supporting information for further reviewPerform a variety of research activities including addressing research discrepanciesIdentify opportunities to improve service delivery and support process improvement initiatives and opportunities to enhance productivity, effectiveness, and operational efficiencyBe knowledgeable of and comply with Bank Code of ConductConsistently exercise discretion in managing correspondence, information, and all matters of confidentiality; escalate issues where appropriateBe knowledgeable of practices and procedures within own area of responsibility and Bank code of conductProtect the interests of the organization – identify and manage risks, and escalate non-standard, high-risk transactions / activities as necessaryProduce reporting or documentation at the functional or enterprise levelMay maintain appropriate project records, databases, and information; report to management and others on project status and updatesIdentify, recommend, and effectively execute standard practices applicable to the disciplineAdhere to internal policies/procedures and applicable regulatory guidelinesParticipate 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 interestSupport the team by continuously enhancing knowledge / expertise in own area and participate in knowledge transfer within the team and business unitContribute to a fair, positive and equitable environment that supports a diverse workforceAct as a brand champion for your business area/function and the bank, both internally and/or externallyComplete adjudications and investigations – report / escalate risk issues or process gaps identifiedEnsure documentation that is prepared / completed is accurate and properly reflects business intentions and is consistent with relevant rules / regulationsGenerally, reports to a Team ManagerBenefitsHealth and well-being benefitsSavings and retirement programsPaid time offBanking benefits and discountsCareer developmentReward and recognition programsCompany OverviewTD 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.



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