Financial Crime Risk Senior Lead Investigator - Insider Investigations

Work Location:

Mount Laurel, New Jersey, United States of America

Hours:

40

Pay Details:

$110,760 - $178,880 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Line of Business:

Financial Crime Risk Management

The Financial Crime Risk Senior Lead Investigator leads thematic, complex (i. e. , regulatory/public private partnerships) investigative projects, the most 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 Executive and their team, focused on the investigative output of the teams.

Depth & Scope:

• Investigates the AML/ATF and financial crime cases thematic and/or most complex criminal cases in nature

• Expert knowledge of Bank products, systems, policies and procedures

• Expert knowledge of criminal investigative techniques, related laws governing collection of evidence, court proceedings and financial/criminal trends

• Manages programs/projects/initiatives of advanced 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

• Impacts a range of functional programs across enterprise

• Interprets guidelines, standards, policies, and results of analysis to inform decision making at senior levels

• Builds stakeholder alignment in leading projects and activities

• Works independently as the senior technical lead and guides others within area of expertise

• Identifies and leads problem resolution for complex issues at all levels

Education & Experience:

• Undergraduate degree or equivalent work experience

• 10+ years of experience

Preferred Qualifications:

• 9+ years of experience in AML investigations, financial crime risk management, or a related field, including internal employee investigations

• 3-4+ years of experience in coordinating reviews with multiple stakeholders, including Fraud and Legal

• 2-3+ years of experience conducting interviews as part of investigations

• Strong knowledge of financial crime typologies, AML regulations, and Insider Risk typologies

Customer Accountabilities:

• Leads the most complex investigations by conducting thorough analysis

• Identifies key control weaknesses and works with business partners to agree on action items and next steps

• Develops supporting internal/external communications, including court briefs, as well as investigative reports to appropriate internal stakeholders

• Provides expert guidance and/or oversight to relevant businesses/stakeholders and determines root cause of breaches for prevention purposes

• 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 TD's exposure

• 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:

• Proactively identifies key opportunities for improvement, research, and recommends enhancements/modifications, develops strategies to achieve recommendations

• Streamlines or creates new processes to meet/exceed standards and deliver medium to longer term impact

• 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

• Develops presentations/communications based on internal and external research; delivers presentations/communications to management or broader audience

• 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 area(s)

• Consistently exercises discretion in managing correspondence, information and all matters of confidentiality

• Protects the interests of the organization - identifies and manages risks, and ensures the prompt and thorough resolution of escalated non-standard, high-risk issues

• 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:

• Serves as a senior 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

• Role models personal development and leads/champions development activities with the team/function


•