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Manager of AML Financial Crime Risk Investigations
2 months ago
Work Location: Canada
Hours: 37.5
Line of Business: Financial Crime Risk Management
Compensation Details:
We are dedicated to ensuring fair and equitable remuneration for all our employees. As a prospective candidate, we encourage you to engage in open discussions with a member of our HR Team regarding compensation inquiries, including specifics for this position.
Position Overview:
The role involves overseeing a team of specialized professionals tasked with analyzing and investigating financial crime risks. You will assign and monitor caseloads to mitigate potential regulatory risks and financial losses to the institution.
The High-Risk Customer Program comprises dedicated teams of AML experts responsible for conducting enhanced due diligence on high-risk clients. This includes the Quality Control Function, which reviews all clients subjected to enhanced due diligence.
The Manager of AML Financial Crime Risk Investigations (focused on Enhanced Due Diligence, High-Risk Customers, PEPs, and HIO Programs) will be primarily responsible for:
- Reporting to the Senior Manager of AML Financial Crime Investigations and the Associate Vice President (AVP) overseeing Canada’s Enhanced Due Diligence and High-Risk Investigations.
- Supervising a team of Senior Investigators in AML Financial Crime Risk (Quality Control) who review completed enhanced due diligence files to ensure compliance with the institution's AML/ATF policies, standards, and Canadian regulations.
- Supporting the Senior Manager and AVP in managing the High-Risk Customer, PEP, and HIOs Quality Control Program while collaborating with stakeholders to ensure effective controls are in place to mitigate risks and comply with regulatory requirements.
- Overseeing control activities related to the High-Risk Customer, PEP, and HIOs QC Programs, including risk mitigation strategies such as recommending relationship demarketing or timely regulatory reporting of suspicious activities.
Client Responsibilities:
- Assisting the Senior Manager and AVP in managing the High-Risk Customer, PEP, and HIOs Programs and the QC Function to ensure compliance with enhanced due diligence requirements.
- Designing and implementing comprehensive QC processes for reviewing high-risk customers, PEPs, and HIOs subjected to enhanced due diligence.
- Providing leadership and guidance to a team of Senior Investigators while fostering a culture of compliance and continuous employee development.
- Conducting quality control reviews to ensure investigations and assessments of high-risk customers are prioritized and completed in a timely manner.
- Ensuring timely regulatory reporting and adherence to internal controls.
- Addressing deficiencies identified through QC processes and providing ongoing training to investigators.
- Managing daily operations to meet business objectives and deliver quality service.
- Reviewing incoming files and assigning them to appropriate investigators.
- Conducting investigations as needed, ensuring adherence to analysis and investigation standards.
- Collaborating with external organizations to gather necessary intelligence.
- Maintaining awareness of emerging trends and investigative techniques.
- Representing the department in relevant internal projects and committees.
Stakeholder Engagement:
- Building and maintaining effective relationships with key stakeholders including Corporate Security, Legal, and Human Resources.
- Participating in forums and working groups to ensure timely and accurate information sharing.
- Contributing to the development and operationalization of the business plan.
- Monitoring and communicating the effectiveness of strategies and programs.
- Ensuring compliance with internal and external requirements.
- Identifying business opportunities and recommending enhancements.
- Coordinating activities with partners across the organization.
- Leading relationships with business lines to ensure alignment with regulatory requirements.
- Keeping abreast of emerging issues and trends in the regulatory landscape.
- Maintaining a culture of risk management and control.
Team Leadership:
- Providing leadership and guidance to the team, setting targets and objectives.
- Developing team members and acting as a mentor.
- Fostering a cohesive team environment that supports diversity and common goals.
- Managing employee performance in accordance with HR policies.
- Sharing knowledge and encouraging good working relationships across functions.
Qualifications:
- Undergraduate degree or relevant professional certifications required.
- 7+ years of relevant experience.
- Strong knowledge of Canadian AML legislation and guidance.
- Experience with KYC requirements and high-risk customer programs.
- Excellent communication and coaching skills.
- Strong decision-making and analytical abilities.
- Ability to manage competing priorities effectively.
- Proficiency in computer applications including MS Office.
