Name Screening CoE PEP Team Lead II

Work Location:

Hours:

Pay Details:

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 candidates 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:

Job Description:

The US Financial Crime Risk Management (FCRM) Group is responsible for the detection investigation and reporting of potential money laundering and terrorist financing activities conducted through TD Bank. The various screening processes conducted by the Financial Crimes Name Screening Operations Team are a key element of the adjudication and escalation activities conducted by US FCRM to manage TD Banks anti-money laundering and anti-terrorist financing risk sanctions and compliance obligations. The Name Screening Operations team screens against various watchlists containing potential matches and acts as the primary identification point in analyzing and escalating potential matches to watchlist individuals.

As part of an ongoing transformation of the Name Screening Operations team a new Center of Excellence is being established to handle all initial alert adjudication and escalation globally including Sanctions Politically Exposed Persons Money Services Business Negative Media and additional Prevention and Detection-related alerts.

The Financial Crime Risk Investigator I conducts adjudications and/or analysis risk assessments and investigations of general queue cases (recommending for demarket and/or freezing accounts by the appropriate investigative unit). Provides analysis and/or data/evidence gathering support for moderate to very complex end-to-end investigations. This can include AML and Sanctions/ABAC Financial Crime or digital evidence for case preparation and evidence/documentation purposes. Prioritizes incoming investigation requests.

Depth & Scope:

• Investigates AML ATF ABAC and Sanctions cases and conducts interviews or collects and analyzes digital evidence
• Sound knowledge of investigative techniques AML and criminal trends and analysis
• Demonstrates experience managing more complex non-criminal investigations
• Strong understanding of Bank policy and procedures for own area
• Professional role with a focus on providing services/process/program support within defined parameters
• Requires sound conceptual knowledge in related functions
• Typically no supervisory accountability but may provide informal guidance to others
• May lead small projects and/or support workstreams of a bigger project
• Investigates and analyzes potential solutions; ensures processes and functional programs are implemented
• Executes on work with some complexity requiring short to medium-term focus (weekly-monthly)
• Delivers on assigned initiatives/projects/programs with some direction from management

Education & Experience:

• Undergraduate degree or equivalent work experience
• 2 years experience

Preferred Qualifications:

• 2 years of experience working in the financial industry
• ACAMS certification
• Strong knowledge of AML KYC and Enhanced Due Diligence (EDD) processes and regulations
• Strong written and verbal communication skills

Customer Accountabilities:

• Conducts thorough analysis risk assessment and investigation of referred/assigned cases
• Conducts research and applies new methodologies for analyzing digital evidence to reduce the risk of exposure to TD Bank
• Provides support in preparation for review interviews for financial crime cases and ensures proper documentation is obtained for evidence purposes
• Uses sound methodologies to collect preserve and analyze digital evidence
• Works with internal partners/external parties for effective detection and investigation purposes
• Prepares and delivers AML Sanctions/ABAC and Financial Crime or fraud detection/loss prevention seminars to internal areas of the Bank
• Maintains a good understanding and awareness of emerging AML and Sanctions/ABAC trends cyber technologies and new criminal techniques
• Applies strong knowledge of bank procedures products and systems to assist investigators in analyzing situations gathering information and required documentation and case preparation. Conducts sound investigations and provides AML and Sanctions/ABAC support and recommendations

Shareholder Accountabilities:

• Leads work streams by acting as a project lead for small scale projects/initiatives in accordance with project management methodologies
• Consistently exercises discretion in managing correspondence information and all matters of confidentiality; escalates issues where appropriate
• Conducts reporting and/or meaningful analysis at the functional or enterprise level using results to draw conclusions makes recommendations assesses the effectiveness of programs/policies/practices
• Be knowledgeable of practices and procedures within own area of responsibility and keeps abreast of emerging trends for own functional area
• Protects the interests of the organization identifies and manages risks and escalates non-standard high-risk transactions/activities as necessary
• Maintains appropriate project records databases and information; reports to management and others on project status and updates
• Monitors service productivity and assesses efficiency levels within own function and implements continuous process/performance improvements where opportunities exist
• Acquires and applies expertise in the discipline provides guidance assistance and direction to Analysts and others
• Identifies recommends and effectively executes standard practices applicable to the discipline
• Adheres to internal policies/procedures and applicable regulatory guidelines
• Keeps abreast of emerging issues trends and evolving regulatory requirements
• Maintains a culture of risk management and control supported by effective processes in alignment with risk appetite

Employee/Team Accountabilities:

• Participates fully as a 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
• Supports the team by continuously enhancing knowledge/expertise in own area 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
• Participates in personal performance management and development activities including cross training within own team
• Keeps others informed and up to date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities
• Contributes to the success of the team by willingly assisting others in the completion and performance of work activities; provides training coaching and/or guidance as appropriate
• Contributes to a fair positive and equitable environment that supports a diverse workforce
• Acts as a brand champion for your business area/function and the bank both internally and/or externally

Physical Requirements:

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

• Domestic Travel Occasional
• International Travel Never
• Performing sedentary work Continuous
• Performing multiple tasks Continuous
• Operating standard office equipment - Continuous
• Responding quickly to sounds Occasional
• Sitting Continuous
• Standing Occasional
• Walking Occasional
• Moving safely in confined spaces Occasional
• Lifting/Carrying (under 25 lbs.) Occasional
• Lifting/Carrying (over 25 lbs.) Never
• Squatting Occasional
• Bending Occasional
• Kneeling Never
• Crawling Never
• Climbing Never
• Reaching overhead Never
• Reaching forward Occasional
• Pushing Never
• Pulling Never
• Twisting Never
• Concentrating for long periods of time Continuous
• Applying common sense to deal with problems involving standardized situations Continuous
• Reading writing and comprehending instructions Continuous
• Adding subtracting multiplying and dividing Continuous

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

Who We Are:
TD is one of the worlds leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day we deliver legendary customer experiences to over 27 million households and businesses in Canada the United States and around the world. More than 95000 TD colleagues bring their skills talent and creativity to the Bank those we serve and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers communities and colleagues.

TD is deeply committed to being a leader in customer experience that is why we believe that all colleagues no matter where they work are customer facing. As we build our business and deliver on our strategy we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether youve got years of banking experience or are just starting your career in financial services we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs were here to support you towards your goals. As an organization we keep growing and so will you.

Our Total Rewards Package

Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g. eligibility for cash and/or equity incentive awards generally through participation in an incentive plan) and several other key plans such as 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 and reward and recognition. Learn more

Additional Information:
Were delighted that youre considering building a career with TD. Through regular development conversations training programs and a competitive benefits plan were committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development
If youre interested in a specific career path or are looking to build certain skills we want to help you succeed. Youll have regular career development and performance conversations with your manager as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience or you want to coach and inspire your colleagues there are many different career paths within our organization at TD and were committed to helping you identify opportunities that support your goals.

Training & Onboarding
We will provide training and onboarding sessions to ensure that youve got everything you need to succeed in your new role.

Interview Process
Well reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation

TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race color religion sex sexual orientation gender identity national origin age disability status as a protected veteran or any other characteristic protected under applicable federal state or local law.

If you are an applicant with a disability and need accommodations to complete the application process please email TD Bank US Workplace Accommodations Program at . Include your full name best way to reach you and the accommodation needed to assist you with the applicant process.