Financial Crime Risk Investigator II – Securities
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Job Description
Financial Crime Risk Investigator II conducting internal and external investigations related to financial crimes at TD. Responsible for safeguarding the organization's financial integrity through thorough investigative work.
Responsibilities:
- Conduct 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
- May provide 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
- Includes authority in applying reasonable grounds to suspect money laundering/terrorist financing, mitigating, and disrupting financial crime
- Leads projects or work streams within broader projects with moderate risk
Requirements:
- Undergraduate degree or equivalent work experience
- 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, 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 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 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 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 opportunities
- Reward and recognition programs
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