Lead Investigator

1 week ago

Mississauga, Canada Scotiabank Full time

Requisition ID: 192857

Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.

This role supports Management supervision of team(s) within the Financial Intelligence Unit (“FIU”) or the Special Investigation Unit (“SIU”) to ensure the delivery of clearly reasoned findings and actions associated with FIU / SIU investigations, along with the timely disposition of such investigations.

Plans, co-ordinates and investigates potential Money Laundering (“ML”), Terrorist Financing (“TF”), or other matters related to FIU / SIU cases referred by team members, internal FIU / SIU, and Bank partners.

Contributes to the overall success of the FIU by both supporting and conducting investigations intended to effectively mitigate risk and address all relevant regulatory requirements. Ensures all activities conducted comply with governing regulations, internal policies and procedures.

Supports and executes the operational processes and maintains quality performance for the Bank’s day-to-day special investigations teams, including timely investigations and proper regulatory reporting. Consistently delivers clearly reasoned, rational and timely outcomes, findings and actions associated with FIU / SIU investigations, thereby mitigating potential financial, regulatory, reputational and legal risk to the Bank. Supports and investigates time-sensitive cases referred to the FIU / SIU by the AOC, team members and Bank partners for reasonable grounds to suspect (“RGS”) potential ML / TF.

Supports and performs investigations and documents clearly reasoned findings and actions associated with FIU / SIU investigations, along with the delivery of timely disposition of such investigations.

**Is this role right for you? In this role, you will**:
**Management Support**:

- Supports FIU / SIU Management duties including managing Investigators as appropriate (i.e., due to business needs, initiatives, etc.).
- Prioritizes and manages investigations conducted by the FIU / SIU team, including monitoring performance and meeting established benchmarks.
- Reviews, approves and prepares investigative reports, along with related documents.
- Provides coaching, feedback and recommends actions regarding FIU / SIU investigations, as appropriate. Mentors the investigative teams and manages resources required to complete investigations.
- Monitors the FIU’s timely reporting of suspicious transaction reporting (“STR”) and other required AML / TF filings to the proper regulatory authority, in accordance with regulations.
- Identifies and suggests AML / ATF awareness training needs to discuss trends and changes in money laundering typologies.

**Investigations**:

- Performs and documents FIU / SIU ML / TF investigations, along with maintaining supporting information, in accordance with Enterprise AML and FIU / SIU policies and procedures.
- Research customer records, customer activities and account information to determine whether unusual activity may indicate RGS.
- Identifies and investigates High-Risk customers including but not limited to potential PEPs/PEFPs, Sanctions and refers as appropriate to internal partners (e.g., EDDU, Global Sanctions, etc.).
- Prepares and delivers investigative results to the appropriate staff, including identification of trends and areas of improvement.
- Identifies and properly reports RGS within the regulatory reporting requirements and timelines.
- Recommends risk mitigation actions and next steps at the conclusion of FIU / SIU investigations.
- Apprises and advises senior personnel regarding ongoing investigations and findings.
- Communicates regularly with leadership to identify challenges and obstacles related to the team’s objectives.
- Provides mentoring, coaching and feedback regarding recommendations and best practices for enterprise investigations, as appropriate.
- Maintains up-to-date knowledge and skill sets relevant for ML, TF, sanction and other regulatory matters to perform case investigations.
- Identifies challenges and obstacles related to the team’s objectives and escalates them accordingly.
- Understands how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
- Actively pursues effective and efficient operations of his/her respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML / ATF risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML / ATF Global Handbook and the Guidelines for Business Conduct.
- Champions a high-performance environment and contributes to an inclusive work environment.

**Do you have the skills that will enable you to succeed in this role? We’d love to work with you if you have experience wi

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