Group Manager, Financial Crime Risk Investigation (4744)

TD•Toronto, ON

1d•Hybrid

About The Position

This role leads a team of Quality Control (QC) Analysts responsible for reviewing work across multiple Financial Crimes Investigations (FCI) teams to ensure consistency and high standards in FINTRAC reporting. The QC team validates that Reasonable Grounds to Suspect (RGS) money laundering and/or terrorist financing have been appropriately established, and that all procedural and regulatory requirements are met. The QC team is also responsible for reviewing No Further Action (NFA) decisions to ensure alerts are closed appropriately when investigations have not identified suspicious activity, negative media, or other grounds to file a Suspicious Transaction Report (STR) or recommend a Relationship Termination Case (RTC). In addition, the team provides RTC approvals, applying sound judgment in determining whether to exit or retain customers. The successful candidate will bring strong leadership, sound risk judgment, and deep AML expertise to ensure high‑quality, well‑supported outcomes in a highly regulated environment. This role offers the opportunity to shape strategy, strengthen controls, and collaborate closely with partners across FCI while protecting the bank, its colleagues, and its customers. As this is a newly established role within FCI, the successful applicant will be expected to help design and mature the STR QC program, including the development of metrics and the delivery of meaningful insights and feedback to FIU senior management and executive leadership.

Requirements

Undergraduate degree or equivalent work experience
7+ years experience in AML and/or Financial Crime at an FI.
Thorough understanding of STR filing requirements / RGS thresholds.
Experience in Quality Control, Quality Assurance, or as a 2nd level reviewer.
Work activities include a blend of highly collaborative activities and individual deliverables.
Individuals are expected to be onsite 4 days a week. Colleagues may spend more or less days in office as required by the business line.

Responsibilities

Lead a team of professionals and managers to achieve business / operational objectives, maintain effective day-to-day operations and deliver quality service and transaction processing consistent with business objectives
Provide guidance and direction to team members within own area of specialization and focus
Review and assess incoming files and allocate to appropriate Investigators/Investigative Specialists
Conduct investigations in the capacity of a working lead where cases have been specifically assigned ensuring proper analysis and investigation standards are followed
Prepare applicable documents based on criminal and//or non-criminal proceedings
Collaborate with counterparts from other institutions and/or external organizations (e.g., public sector, government, law enforcement) to gather intelligence information where necessary
Ensure investigations are professionally conducted and completed in a timely manner
Identify and communicate procedural weaknesses to businesses and ensure processes for remediation are in place such as following up for corrective action where applicable
Maintain strong awareness of emerging trends and investigative techniques for own area of specialty
Represent the department on internal projects/committees for own specialized area as necessary
Contribute to the development of the business plan, operationalize the plan and deliver on assigned service/functionality
Work with key business leaders to develop business plan, ensuring the optimal use of resources and leverage TD’s operating model to maximize efficiency, effectiveness and scale
Monitor and communicate effectiveness of strategies, programs, and practices related to own area of accountability
Ensure programs, policies and practices continue to meet business needs, comply with internal and external requirements, and align with business priorities
Proactively identify key business opportunities, research and recommend enhancements/ modifications, develop strategies to achieve recommendations
Coordinate activities with partners across the organization, may include HR, Technology, Finance, Risk Mgmt.
Ensure team operates in compliance with applicable internal and external requirements, and employees comply with Bank and industry codes of conduct
Ensure appropriate reporting and escalation of issues based on risk profile
Lead relationships with business lines / corporate and/or control functions to ensure alignment with enterprise and/or regulatory requirements
Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts
Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite
Responsible for management of the overall team providing both leadership and guidance
Set targets and objectives for the team, and deliver results
Develop a team of professionals in all aspects of related competencies and act as resource and mentor to others
Grow team expertise to align with business/enterprise demand and direction; assess team skills and capabilities and continually look for ways to provide and enhance the value delivered
Lead a high performing team; provide on-going feedback and performance reviews, coach and develop employees and ensure performance management activities are undertaken and completed for all employees
Lead the process of setting performance objectives for the team; track, monitor and effectively address and/or reward performance in a timely manner
Manage employees in compliance with all human resources policies, procedures and guidelines of conduct
Share knowledge, information, skills, and subject matter expertise among the team and ensure the timely communication of issues and encourage good working relationships with other functions and teams
Establish and foster a cohesive team; promote a fair and equitable environment that supports a diverse workforce and encourage the team to achieve common goals and objectives
Act as a brand ambassador for your business area/function and the bank, both internally and/or externally
Provides people management leadership by hiring the best talent, setting goals, developing employees, managing employee performance and compensation decisions, promoting teamwork, and handling any/all disciplinary actions, as required
Manages a team of Investigators for a specific geographical area/business unit
Demonstrates broad and in-depth knowledge of investigative techniques, proper protocol, and financial criminal trends
Working Manager role that provides overall direction to the team and assigns and reviews the caseload of others
Generally involved in thematic and/or more complex investigations that may have significant reputational/ organizational impact
Ability to present and make recommendations to senior management and executives
Ensure an integrated approach with other business areas, broader organization, and enterprise as appropriate
Coordinates and prioritizes multiple initiatives and manages resource allocation
Establishes effective relationships with different Stakeholders, Business Sponsors, Executives and LOB
Deep knowledge and understanding of businesses / technology, and organizational practices/ disciplines
Sound to advanced knowledge of external competition, industry and/or market trends in relation to own function / business
Focus on short to medium-term issues (e.g., 6-12 months)
Generally, reports to a Senior Manager or an executive role