Financial Crime Risk Lead Investigator leading BSA/AML investigations at TD Bank. Collaborating with law enforcement and ensuring compliance on complex financial crime cases.
About the role
- GFC Investigator conducting complex financial investigations focused on fraud and compliance at Bank of America. Engaging with multiple stakeholders to ensure timely and accurate reporting and resolution.
Responsibilities
- Completes investigations while overseeing cases meet or exceed closure and quality metrics
- Completes Suspicious Activity Reports (SAR) in a timely and accurate manner for submission to regulators and/or law enforcement
- Reports facts of the investigation to senior stakeholders, assisting in identifying potential operational or compliance risks
- Partners with Global Financial Crimes (GFC) Management and/or Front Line Units (FLU) to resolve investigations
- Performs quality control functions, training, communications, guidance, monitoring scenario development/enhancement input and testing, or law enforcement liaison responsibilities
Requirements
- Minimum of five years of relevant experience
- Understanding of Retail Brokerage Products, Clients, and Services, such as Equities, Fixed Income Products, Structured Investments, Securitized Products, Mutual Funds, and entity structures
- FINRA Securities Essential Exam/ FINRA Series 7, Series 6 or relevant experience in the areas of back office operations, Margin, ACAT Transfer
- Suspicious Activity Reporting (SAR)
- Stakeholder Management (FLU, Business Controls, Risk)
- Understanding of Rules, Regulations, and Compliance (FINRA/SEC)
Benefits
- Industry-leading benefits
- Access to paid time off
- Support for physical, emotional, and financial wellness
- Annual discretionary award based on performance
Job title
Job type
Experience level
Salary
Degree requirement
Location requirements
AML Senior Associate conducting complex AML reviews and ensuring compliance with regulations for Waystone. Mentoring junior associates in a hybrid work environment.
Intern supporting Client Due Diligence and KYC reviews at Deutsche Börse Group. Assisting with compliance procedures and documentation collection for customer onboarding.
AML/KYC Analyst ensuring compliance with internal policies and regulations for investment funds. Conducting due diligence, risk assessments, and collaborating with various teams.
AML Operations PEP Analyst supporting Transaction Monitoring and reporting suspicious activities to the NCA. Collaborating with teams to improve monitoring processes and procedures.
AML Analyst reviewing transaction alerts for suspicious activity in a technology department at an investment bank. Conduct investigations, assist with optimizing banking monitoring processes, and understand AML laws.
Deloitte Operations seeking Project Manager to support Financial Crime MI & Governance enablement. Overseeing project management responsibilities and ensuring project deliverables are met within deadlines and budgets.
Manager, KYC leading and developing a team providing oversight and expertise in regulatory guidance for TD's KYC programs. Managing client due diligence reviews and driving process improvements.
Analyst managing fraud detection and reconciliation processes for Domtar in Montreal. Conducting validations and monthly reconciliations while collaborating with the Accounts Payable team.
AML Administrator assisting AML Analyst with KYC information and record keeping. Working with the AML team to ensure compliance with regulations and assist in project implementations.