Financial Crime Risk Investigator II – Securities

🕒 July 31

🐊 Florida, Illinois, +7 more states – Remote

🐊 Florida – Remote 🌽 Illinois – Remote 🦞 Maine – Remote 🏖️ New Jersey – Remote 🗽 New York – Remote 🌲 North Carolina – Remote 🔔 Pennsylvania – Remote 🌴 South Carolina – Remote 🤠 Texas – Remote

💵 $29 - $47 / hour

⏰ Full Time

🟡 Mid-level

🟠 Senior

🚨 AML and Financial Crime

🦅 H1B Visa Sponsor

This company has sponsored H1B visas in the past.

👻 Ghost score 37%

What it means: how likely this posting is sitting open without active hiring.How to read it: 60% or higher means we think this is a ghost. Lower scores are less of a worry.How we score it: age, reposts, open roles vs team size, how fast jobs close, and whether pay is listed.Fine print: an estimate from public data, not a judgment of the company. Real jobs can score high, so treat it as a hint, not a fact.

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TD

WebsiteLinkedInAll Job Openings

10,000+ employees

Founded 1855

🏦 Banking

💸 Finance

🛡️ Insurance

💰 Grant on 2023-10

Banking • Finance • Insurance

TD is one of North America's biggest banks offering a wide range of banking services including personal and business banking, insurance, wealth management, and securities. TD is committed to sustainability, diversity, equity, and inclusion, ensuring a supportive and inclusive workplace where employees are empowered to grow. The bank provides various roles and career opportunities across different regions with a focus on community impact and professional development. TD's culture is defined by care and respect, aimed at benefiting their business performance, customers, and communities.

📋 Description

• Conduct end-to-end investigations of moderate to higher complexity and sensitivity for internal and external Securities cases • Analyze evidence, data, trading activity, transaction patterns, and customer behavior to identify suspicious activity, money laundering, terrorist financing, and market misconduct • Apply reasonable grounds to suspect money laundering and terrorist financing • Recommend demarketing and/or freezing accounts to the appropriate investigative unit • Conduct adjudications • Collect, assess, and collate case-file information for AML, Sanctions/ABAC, and Financial Crime investigations • Initiate investigations and respond to emerging AML and Sanctions/ABAC risks • Review and investigate court orders and subpoenas related to criminal actions • Coordinate investigations with law enforcement agencies as delegated • Prepare and deliver AML, Sanctions/ABAC, Financial Crime, and/or fraud detection/loss prevention training or updates • Lead workstreams and act as project lead for medium-scale projects and initiatives • Conduct functional or enterprise-level reporting and analysis, draw conclusions, and make recommendations • Maintain project records, databases, and information; report project status and updates to management • Monitor service and productivity, assess efficiency, and implement process/performance improvements • Provide QA/review, mentorship, guidance, and knowledge transfer to Analysts, Investigators, and others • Adhere to internal policies, procedures, regulatory guidelines, and risk-management controls • Participate as a team member, support a positive work environment, and keep colleagues informed of project and activity status

🎯 Requirements

• Undergraduate degree or equivalent work experience • 3+ years experience • Preferred: 3+ years' experience in a Broker-Dealer and/or Securities related investigations role • Thorough understanding of Securities products such as Fixed Income, Foreign Exchange, Prime Brokerage, Equities, and Low Priced Securities • Knowledge of market abuse typologies such as insider trading, market manipulation, front running, and layering/spoofing • Knowledge of financial industry products, policies, and procedures involving Institutional Clients, Broker-Dealers, and Securities related Investigations • Understanding of regulatory requirements including FINRA, SEC, and applicable AML/BSA regulations • Ability to manage multiple investigations simultaneously while meeting deadlines in a fast-paced environment • Strong critical thinking and problem-solving skills with attention to detail • Experience reviewing trading activity, transaction patterns, and customer behavior to identify potential misconduct or suspicious activity • Ability to analyze large data sets and document investigative findings in a clear, concise, and defensible manner • Strong written and verbal communication skills, including preparing detailed investigative reports and presenting findings to management • Experience working with surveillance systems, case management tools, and investigative platforms • Ability to work sedentary and office-equipment tasks continuously, with occasional domestic travel and physical activities as specified

🏖️ Benefits

• Base salary and variable compensation/incentive awards, including eligibility for cash and/or equity incentive awards • Health and well-being benefits • Savings and retirement programs • Paid time off, including Vacation PTO, Flex PTO, and Holiday PTO • Banking benefits and discounts • Career development • Reward and recognition • Regular career, development, and performance conversations • Online learning platform • Mentoring programs • Training and onboarding sessions • Domestic travel opportunities