Lead Investigator, Fiu/siu/siup

2 months ago

Mississauga, Canada Scotiabank Full time

Requisition ID: 209212

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

The Lead Investigator supports Management supervision of team(s) within the Canadian Financial Intelligence Unit (FIU), the Special Investigations Unit (SIU), or the SIU Projects team (SIUP) to ensure the delivery of clearly reasoned findings and actions associated with FIU/SIU/SIUP investigations, along with the timely disposition of such investigations.

They will plan, co-ordinate, and investigate potential money laundering (ML), terrorist financing (TF), and/or other matters related to FIU/SIU/SIUP transaction monitoring cases referred by internal team members, and/or other internal or external sources.

They will also contribute to the overall success of the FIU by both supporting and conducting time-sensitive transaction monitoring investigations intended to effectively mitigate risk and address all relevant regulatory requirements, while ensuring all activities conducted comply with governing regulations, as well as internal policies and procedures. They also support and execute the operational processes and maintains quality performance for the FIU/SIU/SIUP, including case investigations and proper regulatory reporting, such as suspicious transaction reporting. Consistently delivers clearly reasoned, rational, and timely outcomes, findings, and actions associated with FIU/SIU/SIUP investigations, thereby mitigating potential financial, regulatory, reputational, sanctions, and legal risk to the Bank.

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

- Support FIU/SIU/SIUP Management duties, including managing Investigators, as appropriate (e.g., due to business needs, initiatives, etc.).
- Prioritize and manage investigations conducted by the FIU/SIU/SIUP, including monitoring performance and meeting established benchmarks.
- Review, approve, and prepare investigative reports, along with related documents.
- Provide mentoring, coaching, and feedback, and recommends actions and best practices regarding case investigations, as appropriate. When required, manages resources required to complete investigations.
- Monitor the team’s timely reporting of suspicious transaction reporting (STR) and other required ML/TF filings to the proper regulatory authority, in accordance with regulations.
- Identify and suggest ML/TF awareness training needs to discuss trends and changes in AML typologies.

Investigations:

- Perform and document FIU/SIU/SIUP ML/TF investigations, including clearly reasoned findings, along with maintaining supporting information, in accordance with Enterprise AML and internal policies and procedures.
- Perform increased risk and/or complex investigations, and provides both recommendations and reports, as appropriate, on investigative trends and outcomes.
- Investigate Client records, activities, and account information to determine whether unusual activity may indicate Reasonable Grounds to Suspect (RGS).
- Identify and investigate high-risk Clients, including, but not limited to, potential politically exposed persons (PEPs)/politically exposed foreign persons (PEFPs), and/or Sanctions, and refers, as appropriate, to internal partners (e.g., EDDU, Global Sanctions, etc.).
- Prepare and deliver investigative results to the appropriate staff, including identification of trends and areas of improvement.
- Identify and properly report RGS within the regulatory reporting requirements and timelines.
- Recommend risk mitigation actions and next steps at the conclusion of FIU/ SIU/SIUP investigations.
- Apprise and advise senior personnel regarding ongoing investigations and findings.
- Maintain up-to-date knowledge and skill sets relevant for ML/TF, Sanctions, and other regulatory matters to perform case investigations.
- Identify challenges and obstacles related to the team’s objectives and escalates them accordingly.
- Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
- Actively pursue 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, 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.
- Champion a high-performance environment and contributes to an inclusive work environment.

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

- Bachelor’s degree (University Degree) or equivalent, with a minimum of 2 years of experience in AML and/or risk disciplines and 1 year in a Senior Investigator capacity. Extensive investigative skills along wit

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