Senior Quality Control Analyst (4743)

TD•Toronto, ON

8d•Hybrid

About The Position

This role includes reviewing No Further Action (NFA) decisions to ensure alerts are closed appropriately where investigations have not identified suspicious activity, negative media, or any other grounds to file an STR or recommend an RTC. In addition, the Senior QC Analyst is responsible for RTC approvals, ensuring sound judgment is applied in determining whether to exit or retain the customer.

Requirements

Minimum 5 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 in an FIU.
Demonstrated successful interaction across multiple and diverse disciplines.
Ability to provide concise and coherent feedback.
Excellent communication skills at all levels of the organization.
Work activities include a blend of highly collaborative activities and individual deliverables.

Responsibilities

Validate investigative outcomes across STR, NFA, and RTC decisions, including confirming RGS where applicable, ensuring STRs are filed as soon as practicable, verifying NFA closures are appropriate where no suspicious activity exists, and approving RTCs to ensure sound decisions on customer exit or retention.
Incorporate procedures, job aids, and regulatory findings into a holistic case review.
Review case file and transactional data to ensure that all reportable transactions are submitted.
Ability to identify root causes of quality issues be it human error, procedural gaps, or required training.
Provide and deliver value-added feedback to the investigative teams.
Contribute to the establishment of metrics and feedback loops.
Drive system development projects and efficiency enhancements.