TD

Financial Crime Risk Investigator II – Securities

TD

full-time

Posted on:

Location Type: Remote

Location: Florida • New Jersey • United States

Visit company website

Explore more

✨ AI Apply
Apply

Salary

💰 $30 - $48 per hour

About the role

  • 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
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
investigationsadjudicationsmoney launderingterrorist financingfinancial crimetrading activity reviewdata analysistransaction pattern analysissuspicious activity identificationinvestigative reporting
Soft Skills
critical thinkingproblem-solvingattention to detailcommunicationmentorshipproject leadershiptime managementmultitaskingteam collaborationpresentation skills