Financial Crime Risk Investigator II – Securities

🔥 0 minutes ago

🌽 Illinois, New Jersey, +2 more states – Remote

🌽 Illinois – Remote 🏖️ New Jersey – Remote 🔔 Pennsylvania – Remote 🌴 South Carolina – Remote

💵 $29 - $47 / hour

⏰ Full Time

🟡 Mid-level

🟠 Senior

🚨 AML and Financial Crime

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TD

WebsiteLinkedInAll Job Openings

10,000+ employees

Founded 1855

🏦 Banking

💸 Finance

💰 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

• Conducts investigations of moderate complexity for both internal and external cases. • Recommends for demarket and/or freezing accounts by the appropriate investigative unit. • Conducts adjudications of moderate complexity. • Provides QA/review and mentorship of a team. • Applies reasonable grounds to suspect money laundering and terrorist financing. • Conducts end-to-end investigations of various higher complexity and sensitivity through analysis of evidence gathered for both internal and external investigations. • Acts as an escalation point or knowledge resource for others in their own area. • Leads projects or work streams within broader projects with moderate risk and may be accountable for ongoing activities, processes, and functional programs.

🎯 Requirements

• Undergraduate degree or equivalent work experience • 3+ years experience in Broker-Dealer and/or Securities related investigations role • Thorough understanding of Securities products such as Fixed Income, Foreign Exchange, Prime Brokerage, Equities, Low Priced Securities, etc. • Knowledge of market abuse typologies such as insider trading, market manipulation, front running, and layering/spoofing • Knowledge of financial industry products, policies, and procedures that involve 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 the ability to prepare detailed investigative reports and present findings to management • Experience working with surveillance systems, case management tools, and investigative platforms

🏖️ Benefits

• Health insurance • 401(k) matching • Paid time off • Remote work options • Professional development