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Senior Manager, Financial Crime Risk Oversight

TD Bank, Inc., City of Westminster

Senior Manager, Financial Crime Risk Oversight

Salary Not Specified

TD Bank, Inc., City of Westminster

  • Full time
  • Permanent
  • Onsite working

Posted today, 22 Dec | Get your application in now to be one of the first to apply.

Closing date: Closing date not specified

job Ref: 309888c9b0754083bf579f9b1e8a1ac3

Full Job Description

  • Lead and manage a high performing team on delivery of AML/ATF, Sanctions, ABAC compliance programs and culture
  • Provide guidance, leadership, coaching and development to direct reports to ensure operational results and professional/personal development objectives are achieved
  • Provide strategic direction on a broad and diverse range of complex AML/ATF/ Sanctions/ABAC program activities
  • Proactively advise covered TD businesses of new and changed AML/ATF/ Sanctions/ABAC regulatory and/or policy requirements and articulate the impact to their processes and controls
  • Contribute to the development and implementation of AML/ATF/Sanctions/ABAC Compliance programs
  • Work with senior business unit management / partners to develop proactive strategies, tactics, policies, and programs to effectively manage regulatory / compliance issues
  • Provide insight, guidance, and recommendations and act as a specialized resource to other departments based on subject matter expertise including, but not limited to, customer identification and due diligence, enhanced due diligence, policy, governance, training and/or compliance assurance and testing
  • Manage and provide oversight on day-to-day operations of the department and participate in enterprise wide or Customer focused special projects on behalf of FCRM
  • Deliver subject matter expertise and AML/ATF/Sanctions/ABAC guidance to business management, including developing and maintaining management reporting and analysis
  • Co-ordinate/ Manage the team's participation in / responses to regulatory examinations and internal / external audits, reviewing, packaging, and tracking and providing information for department executive
    • SHAREHOLDER
  • Develop and oversee the implementation of business line policies and procedures
  • Work closely with leaders to develop and operationalize the business plan and deliver on AML/ATL/Sanctions/ABAC programs across the enterprise
  • Plan and execute on strategic activities, review, and communicate results, and adjust tactics accordingly
  • Proactively identify key business opportunities, research, and recommend enhancements / modifications, develop strategies to achieve recommendations and work closely with team to execute and implement
  • Understand TDBG issues / parameters and guide others to protect the reputation and interest of TDBG by adhering to operating standards and processes related to AML/ATF/ Sanctions/ABAC
  • Provide oversight on risk assessment processes as required
  • Protect the interests of the organization - identify and manage risks, and escalate non-standard, high-risk transactions / activities as necessary
  • Keep current on 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
  • Liaise with regulatory and law enforcement agencies on AML/ATF/ Sanctions/ABAC examinations and related inquiries
  • Ensure employees are building and enhancing their knowledge and expertise; and employees assume responsibility in minimizing e operational and regulatory risk by complying with Bank policy and Code of Conduct
    • EMPLOYEE / TEAM
  • Responsible for management of the overall team providing both leadership and guidance
  • Contribute to the development of business line and/or enterprise functional strategic priorities within their operational area or field of specialty
  • 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
  • Support an environment where team freely escalates business challenges; facilitate change through positive reinforcement of milestones and successes
  • Recruit for all hires to ensure a highly diverse, qualified workforce to achieve business objectives
  • 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
    • BREADTH & DEPTH
  • Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance, supporting compensation decisions, promoting teamwork, and handling disciplinary actions, as required
  • Support the development of a high-performance business oversight team as a member of the Leadership team.
  • Oversee and lead a large and/or highly complex and diverse AML/ATF/ Sanctions/ABAC F function for an area of significant risk, complexity or scope while growing talent, developing skills and capabilities to achieve career goals, support project / initiative success and achieve business results
  • Provide oversight to programs for an assigned portfolio of complex and dynamic TD businesses and legal entities
  • Maintain highly specialized expertise and in-depth knowledge to manage AML/ATF/ Sanctions/ABAC programs for multiple, significant complex businesses, functional areas and/or global business lines
  • Provide coaching, mentorship and guidance to practitioners, business, executives within area of expertise
  • Manage and oversee the overall discipline and strategy for the AML/ATF/ Sanctions/ABAC area while aligning to the enterprise best practices
  • Position typically deals with senior/executive management
  • Key contact for business management, regulators, and external/internal auditors, dealing with a broad range of issues including non-routine information
  • Focus on longer-range planning for functional area (e.g., 12 months or greater)
  • May manage and prioritize multiple projects at a given time
  • Act as highest point of team escalation for resolution and provides direction to resolve issues or escalate
  • Generally reports to executive management

    Undergraduate Degree
  • Advanced degree, professional accreditation, and/or 10+ years relevant industry experience

    TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.
    • TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing - and so will you., We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home. Colleague Development If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals.

    Our Total Rewards Package Our Total Rewards package reflects the investment we make in our colleagues to help them, and their families achieve their well-being goals. Total Rewards at TD includes a base salary and several other key plans such as health and well-being benefits, including medical coverage, paid time off, career development, and reward and recognition programs.

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