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Financial Crimes Lead Investigator - Specialized Investigations

Financial Crimes Lead Investigator - Specialized Investigations

TD BankMount Laurel, NJ, US
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Financial Crime Risk Lead Investigator

The Financial Crime Risk Lead Investigator leads thematic (i.e., regulatory / public private partnerships) investigative projects, complex and sensitive investigations through analysis of evidence gathered for both internal and external investigations. This includes reporting, mitigating, and disrupting financial crime for AML, ATF, Sanctions and ABAC. Provides investigative, developmental and quality assurance support to the Senior Manager and their team, focused on the investigative output of the teams.

The Financial Crime Risk Lead Investigator conducts end to end investigations of various higher complexity and sensitivity through analysis of evidence gathered for both internal and external investigations. Includes authority in applying reasonable grounds to suspect money laundering / terrorist financing, mitigating, and disrupting financial crime (recommending for demarket and / or freezing accounts by the appropriate investigative unit).

Depth & Scope :

  • Investigate AML / ATF and financial crime and / or criminal cases thematic and / or complex in nature
  • Advanced knowledge of Bank products, systems, policies and procedures
  • Advanced knowledge of criminal investigative techniques, related laws governing collection of evidence, court proceedings and financial / criminal trends
  • Manages programs / projects / initiatives of moderate scope and complexity
  • Expert level professional role requiring in-depth knowledge / expertise in own field of specialty and working knowledge of broader related areas
  • Integrates the broader organizational context into advice and solutions within own area. Understands the industry, competition and the factors that differentiate the organization

Education & Experience :

  • Undergraduate degree or equivalent work experience
  • 7+ years of experience

    • Preferred Qualifications :

  • 5+ years working in a role dedicated to conducting complex money laundering investigations either in a law enforcement agency or a financial institution
  • Experience in writing and / or reviewing Suspicious Activity Reports
  • Knowledge of criminal investigative techniques
  • Knowledge of financial industry products, policies, and procedures

    • Customer Accountabilities :

  • Leads a variety of complex investigations, including AML, Sanctions / ABAC, and Financial Crime
  • Applies sound methodologies to collect, preserve, and analyze evidence while staying current on global emerging risks and technology threats
  • Assesses and prioritizes files and investigates assigned cases ensuring proper protocols are in place and effectively applied
  • Works effectively with counterparts at other FI's, law enforcement, Non-Profits, and others in government within prescribed protocols to maximize opportunities for information sharing and to reduce TDBFG exposure
  • Conducts investigations in a professional and timely manner
  • Identifies and communicates procedural weaknesses to businesses and ensures processes for remediation are in place such as following up for corrective action where applicable
  • Identifies industry and typologies risk and trends for respective program areas and shares knowledge with appropriate stakeholders. This may include working with law enforcement and others in the judicial system
  • Maintains and establishes working relationships with internal partners (e.g., HR, Employment Standards, and Legal, etc.) for investigative purposes
  • Applies sound methodologies to collect, preserve, and analyze digital evidence in accordance with investigative mandate

    • Shareholder Accountabilities :

  • Evaluates the effectiveness of processes / services and recommends / champions possible enhancements; may create new processes
  • Establishes escalation processes within the investigative unit and a feedback mechanism to relevant stakeholders
  • Plans and delivers efficient and cost-effective processes that support and promote the implementation of programs
  • Conducts internal and external research projects; supports the development / delivery of presentations / communications; may deliver presentations to management
  • Ensures a high level of service by setting clear service standards and measuring effectiveness
  • Supports the annual planning cycle; confirms quarterly forecast amounts (invoices and estimates) for quarterly budget lockdown
  • Adheres to enterprise frameworks or methodologies that relate to activities for respective business area(s)
  • Consistently exercises discretion in managing correspondence, information, and all matters of confidentiality; escalates issues where appropriate
  • Protect the interests of the organization identifies and manages risks, and ensures the prompt and thorough resolution of escalated non-standard, high-risk issues
  • Runs analysis at the functional or enterprise level using results to draw conclusions, makes recommendations, assesses the effectiveness of programs / policies / practices
  • 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

    • Employee / Team Accountabilities :

  • 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
  • Provides thought leadership and / or industry knowledge for own area of expertise 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
  • Leads or 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 team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices
  • Leads, motivates, and develops relationships with internal and external business partners / stakeholders to develop productive working relationships
  • Contributes to a fair, positive and equitable environment that supports a diverse workforce
  • Acts as a brand ambassador for your business area / function and the bank, both internally and / or externally

    • Physical Requirements :

    Never : 0%; Occasional : 1-33%; Frequent : 34-66%; Continuous : 67-100%

  • Domestic Travel Occasional
  • International Travel Never
  • Performing sedentary work Continuous
  • Performing multiple tasks Continuous
  • Operating standard office equipment Continuous
  • Responding quickly to sounds Occasional
  • Sitting Continuous
  • Standing Occasional
  • Walking Occasional
  • Moving safely in confined spaces Occasional
  • Lifting / Carrying (under 25 lbs) Occasional
  • Lifting / Carrying (over 25 lbs) Never
  • Squatting Occasional
  • Bending Occasional
  • Kneeling Never
  • Crawling Never
  • Climbing Never
  • Reaching overhead Never
  • Reaching forward Occasional
  • Pushing Never
  • Pulling Never
  • Twisting Never
  • Concentrating for long periods of time Continuous
  • Applying common sense to deal with problems involving standardized situations Continuous
  • Reading, writing, and comprehending instructions Continuous
  • Adding, subtracting, multiplying, and dividing Continuous

    • The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties, and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

    Who We Are : TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches / stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities, and colleagues.

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