Investigator, Transaction Monitoring and Compliance

5 days ago

Mississauga, Ontario, Canada Scotiabank Full time
About the Role

Reporting to the Senior Manager, FIU Governance and Business Management, the Lead Investigator will support the Governance and Business Management Team within the Financial Intelligence Unit (FIU) in ensuring the delivery of clearly reasoned findings and actions associated with transaction monitoring investigations. The Lead Investigator will also support the FIU, Special Investigations Unit (SIU), and SIU Projects team (SIUP) with planning, coordinating, and investigating 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.

Key Responsibilities
  1. Support and lead FIU/SIU Change Management activities, including managing changes with Investigator impact, as appropriate.
  2. Prioritize and manage projects impacting investigations conducted by the FIU/SIU/SIUP teams, including monitoring performance and meeting established benchmarks.
  3. Review, approve, and prepare reports, along with related documents.
  4. Provide change management information, and recommend actions and best practices regarding case investigations, as appropriate.
  5. Support the monitoring of 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.
  6. Identify and suggest ML/TF awareness training needs to discuss trends and changes in money laundering typologies.
  7. Support FIU/SIU/SIUP Investigators with guidance on performing and documenting case investigations, including clearly reasoned findings, along with maintaining supporting information, in accordance with Enterprise AML and internal policies and procedures.
  8. Support FIU/SIU/SIUP Investigators with guidance on researching Client records, activities, and account information to determine whether unusual activity may indicate Reasonable Grounds to Suspect (RGS).
  9. Support FIU/SIU/SIUP Investigators with guidance on identifying and investigating high-risk Clients including, but not limited to, potential politically exposed persons (PEPs)/politically exposed foreign persons (PEFPs), and/or Sanctions, and referring, as appropriate, to internal partners (e.g., EDDU, Global Sanctions, etc.).
  10. Prepare and deliver investigative results to the appropriate staff, including identification of trends and areas of improvement.
  11. Support the FIU teams in identifying and properly reporting RGS within the regulatory reporting requirements and timelines.
  12. Recommend risk mitigation actions and next steps at the conclusion of case investigations.
  13. Apprise and advise senior personnel regarding ongoing investigations and findings.
  14. Maintain up-to-date knowledge and skill sets relevant for ML/TF, Sanctions, and other regulatory matters to perform case investigations.
  15. Identify challenges and obstacles related to the team's objectives and escalates them accordingly.
  16. Support leadership with change management activities related to these findings, and supports implementation of solutions, as appropriate.
  17. Understand how the Bank's risk appetite and risk culture should be considered in day-to-day activities and decisions.
  18. Actively pursue effective and efficient operations of their 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.
  19. Champion a high-performance environment and contributes to an inclusive work environment.

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