Financial Crime

• Support regulator remediation initiatives by contributing to the preparation, review, and coordination of regulatory disclosures, submissions, and responses to requests for additional information
• Partner with Issue Owners and remediation workstreams to support gating activities, milestones, and documentation required for regulatory submissions and internal governance forums
• Ensure remediation‑related documentation prepared for regulators is clear, complete, and free of material gaps, applying a strong regulatory and risk‑based lens
• Support senior leadership by preparing summaries, briefing materials, and consolidated views of changes across regulatory submissions and remediation deliverables
• Participate in and, as required, lead remediation‑related meetings, supporting clear action tracking, follow‑ups, and stakeholder alignment
• Support alignment across regulatory remediation, audit findings, and BAU activities by identifying overlaps, dependencies, and potential risks
• Contribute to policy, standards, and governance initiatives by providing feedback on new or updated AML/ATF documents and completing gap assessments as required
• Foster a strong culture of risk management, regulatory compliance, and professionalism through effective collaboration and proactive support of stakeholders
• Effectively manage multiple ad‑hoc initiatives and deliverables within tight timelines in a fast‑paced remediation environment

Financial Crime Risk Management Specialist – Regulatory Management

• 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
• Protect the interests of the organization – identify and manage risks
• Be knowledgeable of practices and procedures within own area of responsibility
• Act as a key resource/specialist owner or representative by providing technical subject matter expertise
• Contribute to operational efficiencies and improvements
• Ensure necessary due diligence to support accuracy of all transactions/activities

AML Financial Crime Risk Investigative Analyst

• Conduct investigations for internal and external cases
• Engage with law enforcement agencies, conduct data analysis
• Prepare and deliver training on AML and related topics
• Lead work streams for medium scale projects

AML Financial Crime Risk Investigator II

• Help design, institute and coordinate the compliance framework and enforce related rules
• Ensure compliance with anti-money laundering standards
• Advise and assist clients and partners as part of intervention and development initiatives
• Develop tools, methods and processes
• Propose recommendations, solutions and action plans based on the organization’s objectives and priorities
• Diagnose issues, challenges and needs to determine target outcomes
• Help develop and implement objectives, solutions, policies, programs and action plans
• Analyze data, conduct studies, make recommendations and write reports

Financial Crime Prevention Advisor

• Undertake a preliminary assessment of inbound referrals to determine if further investigation is warranted
• Evaluate high-priority referrals requiring additional analysis
• Make judgement-based decisions based on intake materials
• Assess risk ratings and document rationale for decisions
• Manage high volume intake to ensure timely case assignment
• Lead training of new employees
• Provide thematic recommendations for quality improvement of referrals

Financial Crime Risk Investigator II, HRI Triage

• Manage and resolve incoming deal related AML/KYC queries tied to active trade orders
• Manage and resolve periodic KYC refreshes for positions held by Citco on behalf of its underlying clients
• Manage and resolve incoming tax queries and requests for investment related tax documents
• Complete Nominee and AML letter testing requests received from external counterparties
• Build and develop new AML process and workflows to improve overall deal efficiency
• Work with Citco's clients to develop acceptable KYC/AML thresholds and approval workflows
• Support the Trading team with ad hoc trading, deal settlement and client queries
• Work with internal stakeholders to improve access and availability to KYC and tax data
• Design bespoke service solutions and resolve macro issues to ensure client needs are satisfied
• Partner with internal project managers on the delivery of project plans
• Cross sell bank products from the various departments to existing and potential clients including Finance, Asset Servicing, and Treasury and FX services
• Be actively involved in drafting Service Level Agreements with clients and coordinating with operations to ensure it is implemented
• Report important client issues weekly/monthly to Senior Management
• Facilitate the prompt resolution of complex client issues and highlight potential issue(s) to the client
• Develop and maintain strong Citco relationships within internal stakeholders

AML and Compliance Manager

• Provide sound, practical, and timely advice to FCRM businesses, FCRM leadership, and risk partners across the regulatory issue remediation lifecycle within FCRM
• Ensure remediation deliverables are completed, consistent, and aligned with regulatory and enterprise expectations
• Support the review, challenge, and quality control of Management Action Plans, remediation artifacts, risk-reducing measures, and supporting evidence
• Participate in key remediation governance forums and checkpoints, including working sessions, weekly stand-ups, toll-gating reviews, and escalation discussions
• Review governance materials, reporting, and closure packages, as needed
• Apply sound risk judgement and analytical rigor to assess remediation design and execution, challenge, assumptions, identify root causes, and highlight systemic themes or lessons learned across issues
• Support effective senior management decision‑making by synthesizing complex remediation information into clear, concise, and decision‑ready insights and communications
• Act as a trusted subject matter resource on regulatory remediation processes, governance requirements, and evidence standards
• Operate independently in a dynamic and evolving regulatory environment, exercising professional judgment while managing multiple priorities, tight timelines, and ambiguous or complex problem spaces
• Support TD's enterprise-wide risk strategies and control function requirements
• Effectively manage multiple ad‑hoc initiatives and deliverables within tight timelines in a fast‑paced remediation environment.

Senior Financial Crime Risk Analyst

• 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

• 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

• 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

• 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

• Conduct investigations of moderate complexity for AML, Sanctions/ABAC, and Financial Crime
• Recommend actions for account demarket and/or freezing
• Conduct data analysis looking for patterns and anomalies
• Prepare and deliver training on fraud detection

AML Financial Crime Risk Investigator II – SI Investigations

• Conduct investigations of moderate complexity for both internal and external cases
• Recommend for demarket and/or freezing accounts
• Conduct data analysis, manipulation and interpretation
• Initiate investigations for emerging risks
• Provide training on Financial Crime and/or fraud detection

• Lead testing engagements, manage escalations, and appropriately provide timely reporting to senior leadership and stakeholders on the results of assigned review engagement(s)
• Lead and develop team members, offering real-time review engagement guidance, constant team monitoring and assignment of review tasks to meet timeline expectation
• Conduct credible challenge engagement, undertaking testing endeavours when required
• Aid in the development of test planning, fieldwork execution, executive report assembly and ensuring to continually support team members to meet an excellent standard
• Manage the team by providing focus and clarity in establishing goals, driving performance management, supporting career development, and rewarding strong performance
• Perform data analytics to identify opportunities that can be used to conduct testing at the macro level
• Identify and solution areas for opportunities to gain efficiencies within the FCOT Central team program
• Document, implement and keep abreast of regulatory and internal control changes
• Co-ordinate testing between QAR and Internal Audit to minimize testing duplication, stakeholder engagement while maximizing efficiency
• Maintain schedule of testing activities and communicate plan with stakeholders
• Establish, develop and maintain strong relations with internal and external partners
• Follow up and track issues and ensure resolution in a timely manner
• Ensure all paper and electronic files are maintained appropriately, create and maintain various AML documentation suitable for Audit and Regulatory review

Senior Manager, Financial Crimes Oversight Testing

• Conduct end to end investigations of financial crime
• Apply sound methodologies to analyze evidence
• Work with law enforcement and other agencies for information sharing
• Conduct quality control reviews of investigations and recommend improvements

Senior Financial Crime Risk Investigator

• Assess inbound referrals for risk exposure and red flags for financial crime risks at TD
• Undertake basic research including open source, internal bank system and high level transactional assessment to quickly determine if additional investigation is warranted and at what level of complexity
• Ensure cases are tracked for their risk rating, and rationale for decisions is appropriately documented
• Leverage AML knowledge, training, and sound judgement to assess cases
• Meet required tight SLAs
• Recommend any early mitigation required
• Provide thematic recommendations on intake sources to drive ongoing improvement in quality of referrals
• Lead in training of new colleagues
• Assist in time sensitive ad hoc requests

Financial Crime Risk Investigator II

• Conduct investigative analysis by collecting, assessing, and collating case file information for AML, Sanctions/ABAC & Financial Crime investigations
• Conduct data analysis, manipulation and interpretation looking for patterns and anomalies
• Initiate investigations and/or responds to emerging AML and Sanctions/ABAC risks.
• Assist with reviewing and investigating court orders (subpoenas) related to criminal actions.
• Assist and coordinate investigations with various law enforcement agencies as delegated.
• Prepare and deliver AML, Sanctions/ABAC & Financial Crime and/or fraud detection/loss prevention training or updates to Bank Employees or other agencies as assigned.

• Provide FCRM research, evaluation, operational, reporting and analytical support
• Co-ordinate requests to and from business FCRM partners
• Assist in the preparation of summaries, reports and presentations
• Recommend responses to FCRM Program questions and escalate sensitive issues
• Analyze data to meet program health reporting requirements
• Analyze emerging trends and provide recommendations
• Identify matters requiring review and escalate as appropriate
• Coordinate tracking and reporting of FCRM function initiatives

Financial Crime Risk Analyst II

• Conduct adjudications and/or analysis, risk assessment, and investigations of alerts/cases
• Provide analysis and/or data/evidence gathering support for investigations
• Conduct thorough analysis, risk assessment, and investigation of referred/assigned cases
• Prioritize incoming investigation requests

Financial Crime Risk Investigator I, TDS Investigations

• Provide support and assistance to the various teams within High Risk Client Management
• Conduct AML and TF analyses for higher risk clients to identify Key Risk Indicators (KRI)
• Conduct research and investigations using RBC approved techniques and tools
• Prepare accurate, organized, high-quality written client risk assessments
• Prioritize and prepare client risk assessments within defined RBC guidelines, policies, and procedures
• Assign an appropriate risk rating to the bank’s clients in accordance with RBC’s risk rating methodology
• Review, triage, and assess alerts and referrals in accordance with RBC policies and procedures
• Initiate and execute due diligence to determine the need for an EDD review

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