TD Securities is one of the world's leading global financial institutions, and they are seeking a Financial Crime Risk Investigation Support Officer I to provide support in money laundering detection activities and transaction reviews. The role involves investigating problems, ensuring compliance with regulations, and supporting process improvement initiatives.
Responsibilities
- Provide a broad range of support and/or perform general to specialized money laundering detection activities, review of transactions and/or other processing activities
- Perform routine to broad tasks, follow established procedures, and investigate straightforward problems to identify and implement the most suitable solution
- Complete investigations – report / escalate risk issues or process gaps identified
- Perform a variety of AML and Sanctions/ABAC information gathering activities as a part of FCRM regulations
- Providing support of AML and Sanctions/ABAC related activities and transactions 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
- Prioritize own workload to meet SLA requirements for service and productivity
- Support the timely and accurate completion of business processes and procedures
- Escalate non-standard or high-risk activities as necessary
- Ensure necessary due diligence to support the accuracy of all transactions / activities
- Follow internal and industry regulations and operating practices in completing and recording transactions for either the organization or clients
- Ensure documentation that is prepared / completed is accurate and properly reflects business intentions and is consistent with relevant rules / regulations
- Support and participate in process improvement opportunities
- Contribute to the preparation of procedural documents in support of day-to-day operations
- Be knowledgeable of and comply with Bank Code of Conduct
- 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
- Works within established guidelines, accountable for completing routine transactions or low- moderate risk, repetitive processes within a standardized framework
- Completes transactions using a limited number of systems and/or applications
- Manages their own workload, coordinating tasks and services with others
- Identifies and assesses issues in straight forward situations using standard procedures, and escalates non-standard issues internally; typically addressing routine requests requiring minimal discretion
- Minimal decision-making authority
- Limited or first level (initial) interaction with internal partners
- Requires working knowledge and skills developed through formal training or work experience
- Generally, reports to a Team Manager
Skills
- Undergraduate degree or equivalent work experience
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.