Financial Crime

• Assess and/or adjudicate and prioritize incoming alerts and investigation requests
• Provide analysis and data gathering support for cases
• Respond to reports of financial crime activities
• Review incoming incidents and filter investigations

AML Financial Crime Risk Investigative Analyst

• Conduct investigations of moderate complexity for both internal and external cases
• Recommend for demarket and/or freezing accounts
• Conduct adjudications of moderate complexity
• Provide QA/review and mentorship of a team
• Conduct investigative analysis by collecting, assessing, and collating case file information
• Conduct data analysis, manipulation, and interpretation looking for patterns and anomalies
• Assist with reviewing and investigating court orders (subpoenas) related to criminal actions
• Prepare and deliver AML, Sanctions/ABAC & Financial Crime and/or fraud detection/loss prevention training

AML Financial Crime Risk Investigator II – Special Investigations

Legal Assistant

• Preparation of various legal documents
• Handling communications with customers and stakeholders
• Prioritize and manage workflow for quality and efficiency
• Provide specialized business services in mortgage enforcement
• Act as an escalation point and knowledge resource
• Solve moderately complex problems
• Exercise judgment in handling account recoveries
• Maintain knowledge of practices and procedures

Law Clerk, Litigation

Operations

• Provide a high level of service and professionalism to internal clients
• Experience in an investment environment and understanding of basic accounting principles is preferred
• Daily trade settlements across various asset types
• Liaise between trading, broker/dealer, custody, fund accounting to facilitate investigation and resolution of settlement issues
• Support and back up across the Operations team

Wealth Operations Analyst I

• Conduct adjudications and analysis of general queue cases
• Prioritize incoming investigation requests
• Conduct research and apply methodologies for analyzing digital evidence
• Collaborate with internal partners for investigations

AML Financial Crime Risk Investigator I

Inside Sales

• Responsible for obtaining mortgage business volume from independent brokerage firms
• Provide ongoing support to broker community
• Field broker inquiries and prospect new business
• Contribute to operational improvements

Inside Sales Manager

Customer Support

• Create an exceptional customer experience with every customer interaction and contribute to ongoing improvement
• Complete a broad range of financial transactions accurately and efficiently
• Assist with responding and resolving customer concerns
• Identify customer needs and determine solutions to problems
• Support the achievement of business objectives by supporting advice goals
• Promote products and services
• Participate fully as a member of the team and contribute to a positive work environment

Customer Experience Associate

Call Center Representative

• Assist inbound customers with account inquiries and issue resolutions
• Provide personalized support and deliver legendary customer service
• Achieve performance objectives and goals
• Actively participate in ongoing training and coaching

Contact Center Representative II, Everyday Banking

• Conduct analysis of transactional activity to identify risks, trends, and potential suspicious activity
• Determine whether further investigation is required
• Prioritize and manage own workload to meet service level requirements for service and productivity
• Protect the interests of the organization – identify and manage risks, and escalate non-standard, high-risk transactions/activities as necessary
• Act as a key resource/specialist owner or representative by providing technical subject matter expertise, analysis, or operational process support on AML/ATF and other sanctions-related matters
• Contribute to the identification and implementation of new products, operating workflow, additional services/products/applications, or operational efficiencies
• Run and review information against various lists and guidelines; ensure accuracy and flag deviations
• Manage and process activities with multiple steps, systems, and jurisdictions; focus of work is weekly, monthly or longer with additional ad-hoc responsibilities as required
• Find opportunities to improve service delivery and support operational improvement
• Ensure necessary due diligence to support the accuracy of all transactions/activities

Financial Crime Risk Investigative Analyst

Product Analyst

• Support product management in completing both strategic and tactical initiatives
• Evaluate product metrics, trends, and data and come to new conclusions
• Manage small projects from analysis to implementation
• Analyze new business opportunities to assess effects on workflow
• Liaise with vendors to coordinate product enhancements

Senior Product Analyst

Business Analyst

• Provides support and delivery of requirements and work packages on low complexity projects/initiatives
• Leads Requirements Management/work packages for Tier 5 low to moderate risk and regulatory projects
• Identifies and leads problem resolution
• Collaborates with project manager and business sponsor to ensure resources are assigned for successful delivery

Business Analyst II

Data Engineer

• Leading authority on data engineering concepts, principals, practices and standards
• Sets the direction and oversees the work of other Data Engineering professionals on complex, highly-visible projects
• Establishes and leads Data engineering working groups to achieve goals
• Provides consultative and strategic guidance to executive leadership
• Responsible for advancing data engineering practices through processes and tools
• Executes on Data Engineering strategy as it relates to the introduction of tools, automation and better delivery processes
• Leads the creation of solution options and ultimately a comprehensive end-to-end solution
• Acts as an application SME through the design and development lifecycle

Principal Data Engineer

Compliance

• Oversee a team providing advice on regulatory requirements
• Identify and manage risks within the organization
• Conduct analysis and reporting at the functional level
• Build relationships with key stakeholders
• Prepare communications, reports, and presentations

VP Compliance – Trade Surveillance, Communications

Manager

• Manage a team of Business Insights & Analytics specialists
• Collaborate with internal stakeholders to support business decisions and strategies
• Ensure team collaboration with partners on business problems and provide analytical advice

Manager, Analytics & Insights

Security Engineer

• Defines, develops and implements Technology Controls / Information Security related policies and programs
• Provides specialized expertise and guidance on assessing risks
• Identifies potential gaps and provides security solutions to mitigate risks
• Participates on complex projects and provides reporting, analysis, and assessments
• Acts as a lead expert resource for project teams and outside vendors

TD