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About the Role
The Manager, Financial Intelligence Unit (FIU) Investigator, Global AML - US leads and performs end-to-end financial crime investigations. The role supports the Global AML Program by conducting investigations, preparing Suspicious Activity Reports (SARs), and identifying financial crime risks. The Manager, FIU Investigator applies investigative judgment and regulatory knowledge to assess client activity, document conclusions, and recommend follow-up actions.
Responsibilities
- Conduct routine to complex end-to-end FIU investigations involving potential money laundering, terrorist financing, sanctions-related activity, fraud-related activity, and other financial crime risks.
- Review transaction monitoring alerts, case referrals, client information, KYC records, account activity, transactional patterns, internal systems, public records, and external research sources to assess whether activity is consistent with the customer's expected profile and stated business.
- Manage a significant case inventory while prioritizing work based on risk, regulatory expectations, business impact, and management direction, and while supporting adherence to departmental Service Level Agreements (SLAs).
- Prepare clear, concise, and auditable investigative documentation, including case narratives, disposition rationale, supporting analysis, escalation summaries, and investigative conclusions.
- Identify and escalate potentially suspicious activity, material financial crime risk indicators, control concerns, operational issues, customer risk concerns, and matters that may require enhanced review or management attention.
- Complete SAR recommendations and SAR-related documentation in a timely, accurate, and well-supported manner for regulatory reporting and/or law enforcement purposes, as applicable.
- Communicate investigation facts, risk observations, and recommended next steps to FIU management, AML Advisory, sanctions, EDD, front line units, business partners, law enforcement, and other internal stakeholders as needed to resolve investigations.
- Recommend appropriate follow-up actions, including enhanced monitoring, customer outreach, risk-rating review, relationship restrictions, account closure consideration, or other risk-mitigation measures where activity exceeds the Bank's risk tolerance.
- Support investigative support functions such as quality control, peer coaching, training, communications, guidance, lessons learned, monitoring scenario feedback, typology development, and law enforcement liaison responsibilities as needed.
- Contribute to management reporting, trend identification, issue escalation, audit support, regulatory examination responses, and other governance activities related to FIU investigations and financial crime risk management.
- Maintain awareness of applicable BSA/AML, USA PATRIOT Act, OFAC, sanctions, fraud, terrorist financing, and financial crime regulatory requirements, as well as emerging typologies and industry best practices.
- Act in accordance with Scotiabank's Values, Code of Conduct, and Global Sales Principles, ensuring adherence to operational, compliance, AML/ATF, sanctions, and conduct risk requirements.
Requirements
- 3+ years of relevant experience in AML investigations, financial crime investigations, sanctions, fraud, compliance, risk management, law enforcement, or a related financial services or government function.
- Strong working knowledge of BSA/AML, USA PATRIOT Act, OFAC, sanctions, terrorist financing, suspicious activity reporting, and financial crime risk management principles.
- Demonstrated experience conducting investigations, reviewing customer and transaction information, identifying red flags and typologies, and documenting evidence-based conclusions.
- Strong analytical, investigative, and critical thinking skills, with the ability to assess complex activity, identify relevant facts, and apply sound judgment in a regulated environment.
- Strong written and verbal communication skills, including the ability to prepare clear investigative narratives and communicate risk observations to management and stakeholders.
- Ability to manage multiple priorities, maintain attention to detail, meet deadlines, and support SLA and quality expectations in a high-volume environment.
- Working knowledge of transaction monitoring systems, case management tools, KYC systems, public-record research tools, and related financial crime technologies preferred.
- Experience with Excel, data analysis, visualization tools, SQL, Power BI, Python, or other analytics tools preferred.
- Professional certifications such as CAMS, CFE, CGSS, or equivalent financial crime, compliance, fraud, or investigative certifications are a plus.
Skills
- AML investigations
- Financial crime investigations
- Sanctions
- Fraud
- Compliance
- Risk management
- Law enforcement
- BSA/AML
- USA PATRIOT Act
- OFAC
- Terrorist financing
- Suspicious activity reporting
- Financial crime risk management
- Analytical skills
- Investigative skills
- Critical thinking
- Written communication
- Verbal communication
- Transaction monitoring systems
- Case management tools
- KYC systems
- Public-record research tools
- Excel
- Data analysis
- Visualization tools
- SQL
- Power BI
- Python
Location
- US
Work Type
- Full-time
Experience Level
- 3+ years
Benefits
- Holistic well-being focus
- Flexible benefit programs designed to support unique family, financial, physical, mental, and social health needs.
About the Company
- Global Banking and Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the US and Latin America, operating globally for over 100 years.
- Scotiabank’s strong U.S. presence provides clients an important bridge to this key global market for trade and investment flows across the Americas and the world.
- Global Banking & Markets provides a full range of investment banking, credit and risk management products and services relevant to the financing and strategic development needs of clients.
- Products include debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious & metals.
- The company also cross-sells the full range of wholesale products and services offered by the Scotiabank Group.
- Be part of an innovative, Global Capital Markets and Investment Banking business with a unique geographic footprint that puts capital to work for clients across industries.
- We work together to drive ambition for every future!
Equal Opportunity
- At Scotiabank, every employee is empowered to reach their fullest potential, respected for who they are and, embraced for their differences.
- That’s why we work to grow and diversify talent and engage employees in a performance-oriented culture.