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. 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.