Lead Investigator, Governance and Business Management

4 weeks ago

Mississauga, Ontario, Canada Scotiabank Full time
Job Summary

As a Lead Investigator, Governance and Business Management, you will play a critical role in supporting the Governance and Business Management Team within the Financial Intelligence Unit (FIU) to ensure the delivery of clearly reasoned findings and actions associated with transaction monitoring investigations, along with the timely disposition of such investigations.

The successful candidate will 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. They will contribute to the overall success of the FIU by supporting time-sensitive transaction monitoring investigations intended to effectively mitigate risk and address all relevant regulatory requirements. They will also ensure all activities conducted comply with governing regulations, as well as internal policies and procedures.

Key Responsibilities

- Support and lead FIU/SIU Change Management activities including managing changes with Investigator impact, as appropriate.
- Prioritize and manage projects impacting investigations conducted by the FIU/SIU/SIUP teams, including monitoring performance and meeting established benchmarks.
- Review, approve, and prepare reports, along with related documents.
- Provide change management information, and recommend actions and best practices regarding case investigations, as appropriate.
- 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.
- Identify and suggest ML/TF awareness training needs to discuss trends and changes in money laundering typologies.
- 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.
- 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).
- 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.).
- Prepare and deliver investigative results to the appropriate staff, including identification of trends and areas of improvement.
- Support the FIU teams in identifying and properly reporting RGS within the regulatory reporting requirements and timelines.
- Recommend risk mitigation actions and next steps at the conclusion of case 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.
- Support leadership with change management activities related to these findings, and supports implementation of solutions, as appropriate.
- 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 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.

Requirements

- 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 with 5 years of documented AML or law enforcement experience may substitute for university degree requirements. In addition,
- Demonstrated expertise in ML/TF investigations.
- Knowledge of local and relevant AML laws and regulations.
- Strong writing and analytical skills.
- Demonstrated ability to exercise sound judgement as to the materiality of risks identified.
- Proven ability in determining required risk mitigation activities with appropriate consideration to the impact of the business line.
- Good interpersonal and communication skills.
- Uses an analytical approach to problem solving, coupled with attention to results and a sense of urgency.
- Audit or Regulatory Exam experience is an asset.
- Executive reporting experience is an asset.
- Certified Anti-Money Laundering Specialist (CAMS) designation is an asset.
- Exemplary integrity and ethics in all instances.

What We Offer

- In-depth training to prepare you for the role, as well as ongoing coaching and feedback to help you succeed
- You'll be part of a diverse, collaborative, innovative, and high-performing team
- We offer a competitive rewards package:
- Performance bonus, Employee Share Ownership Program, and Pension Plan Matching
- Health Benefits from day one
- You will relish work-life balance, team events, and opportunities to participate in the community.
- Your career matters You will have access to career development and progression opportunities.

Location(s): Canada : Ontario : Mississauga

Scotiabank is a leading bank in the Americas. Guided by our purpose: "for every future", we help our customers, their families and their communities achieve success through a broad range of advice, products and services, including personal and commercial banking, wealth management and private banking, corporate and investment banking, and capital markets.

At Scotiabank, we value the unique skills and experiences each individual brings to the Bank, and are committed to creating and maintaining an inclusive and accessible environment for everyone. If you require accommodation (including, but not limited to, an accessible interview site, alternate format documents, ASL Interpreter, or Assistive Technology) during the recruitment and selection process, please let our Recruitment team know. Candidates must apply directly online to be considered for this role. We thank all applicants for their interest in a career at Scotiabank; however, only those candidates who are selected for an interview will be contacted.

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