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Company (1)
Job type
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Job title (1)
United States
State
Charlotte
12 jobs found
20.08.2025
TB

Td Bank Compliance Director Annual Plan Development Monitoring Repor... United States, North Carolina, Charlotte

Limitless High-tech career opportunities - Expoint
Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required. Develops and...
Description:
Charlotte, North Carolina, United States of America

$200,000 - $280,000 USD


Job Description:

The Compliance Director, Annual Plan Development, Monitoring, and Reporting provides leadership into the strategic vision for our approach to design coverage methodologies across the three lines of defense, drive integration in coverage planning, and implement coverage tracking and reporting for compliance monitoring and testing activities.

Depth & Scope:

  • Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required
  • Develops and owns the methodology for data aggregation, risk coverage, and reporting to support monitoring and testing by 2nd line including compliance risk and controls
  • Works with other first, second- and third-line functions to build an integration planning strategy
  • Develops a coordinated and ultimately consolidated testing calendar for the 2nd line functions to maximize efficiency
  • Drives the use of RPA and artificial intelligence by the testing functions
  • Determines, with other partners, the technology solution for monitoring and testing files and working paper retention
  • Provides thought leadership and input into the strategic vision for the Bank's approach to compliance risk coverage
  • Leads second line of defense data coordination for holistic testing and monitoring reporting by working in close partnership with other second line stakeholders (e.g. Risk, AML, HR)
  • Supports the development of Board reporting on monitoring and testing trends, key issues and action plans
  • Cultivates strong relationships with management across TD
  • Develops and maintains constructive relationships across second line to develop target state methodology for risk coverage
  • Ensures that Compliance Department strategic initiatives and directives are carried out effectively and that those strategic initiatives and directives comply with all relevant regulatory requirements, standards and expectations, as well as internal compliance policies

Education & Experience:

  • Bachelor's degree required
  • 10+ years related experience required
  • In-depth knowledge of financial services, regulatory industry practices
  • Strong data analytic experience, specifically tied to regulatory activities
  • Regulatory, industry and operational knowledge with respect to testing and monitoring.
  • Ability to operate in a cross-functional capacity in the first and second lines.
  • Strong Control/Risk Management mindset.
  • Negotiation skills and forward looking with an ability to drive and implement change and solve problems.
  • Focus on developing and strengthening robust relationships with senior leaders and key stakeholders

Our Total Rewards Package


awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition.



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.
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

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05.05.2025
BOA

Bank Of America Associate Director - Bank America Experience Design United States, North Carolina, Charlotte

Limitless High-tech career opportunities - Expoint
Manage an interdisciplinary team to design, optimize and deliver useful and elegant, best-in-class digital experiences across web, mobile web, and native apps (iOS and Android) from a multidisciplinary, holistic perspective...
Description:

As an Associate Director you will:

  • Manage an interdisciplinary team to design, optimize and deliver useful and elegant, best-in-class digital experiences across web, mobile web, and native apps (iOS and Android) from a multidisciplinary, holistic perspective from concept to execution and implementation.
  • Manage teams, across a platform or portfolio, coaching, directing, and unblocking as needed, to produce great work that delights clients and achieves business goals.
  • Digest, communicate and guide alignment to the latest XD strategic vision, priorities, OKRs and principles while monitoring progress and identifying opportunities to increase effectiveness.
  • Independently problem solves as a practiced decision-maker in working with XD executive leaders and peers.
  • Demonstrate expertise with interpreting internal and external business challenges with a tested playbook of best practices to adapt, improve and ship best-in-class products and processes.
  • Build and lead high performing teams that operate at scale, deliver impact all while retaining top talent. Be responsible for leading employees across multiple geographies.
  • Hold each team member to the highest level of quality and professionalism, providing actionable, concise, and direct feedback to designers across the organization while leveraging situational leadership skills to actively guide career management conversations.
  • Oversee solid experience design deliverables across the design workflow, ensuring portfolio of design work is delivered on time and on budget.
  • Evaluate and benchmark existing product and service experiences while also inspiring teams to set visions for innovative digital and technology experiences.
  • Leverage data, research, and evaluative testing across the customer journey.
  • Proactively seek out strategic partnerships across organizations at every level, build strong relationships and drive thought leadership with product, technology, and business associates.
  • Evangelize and evolve our XD practice, culture, and craft, lead design meetings and actively participate in critiques.
  • Organize project and product details in partnership with project stakeholders and cross-functional teams with strong aptitude for planning, resource management and forecasting.
  • Advocate for Design Systems and scale, thinking beyond one design solution and one technical platform, seeking reusability where efficiency matters and variability when differentiation drives value.

Required Qualifications:

  • 10+ years of industry design experience, including at least 5 years in a lead multidisciplinary designer role with strong capabilities across a range of design disciplines.
  • 5+ years of managing and inspiring people to achieve their maximum potential.
  • An outstanding portfolio that exemplifies excellence in experience design demonstrating end-to-end multidisciplinary product design.
  • A strong track record leading the successful execution of large customer-facing digital products delivered from inception through launch and sustainment in partnership with cross-functional product development and design teams.
  • Knowledge of multi-channel industry standards with demonstrated success in leading and shipping consumer-facing mobile apps, responsive web and websites including system, user, ecommerce, and transactional experiences.
  • Mastery of human-centered design methodologies and rapid ideation processes such as Lean UX, Design Sprints, and Agile.
  • Able to comfortably dive into Experience Design, understand business needs, and drive decisions based on changing priorities.
  • Hands-on experience in organizational change, managing ambiguity, communications & strategy execution with ability to adapt quickly and positively to change.
  • Problem-solving without being asked, resolving issues effectively and calmly, strong time management with an intense focus on achieving results.
  • Excellent communicator in written and verbal form; strong listening and presentation skills, ability to work well with executives, with proven ability to facilitate and influence.
  • Highest level of integrity and management of confidential information.
  • Continuous learner with strong interest in, and aptitude for learning new design and technology skills.
  • Demonstrated ability to effectively lead and build strong partnerships with stakeholders and management levels.
  • Embraces the opportunity to work side by side with other designers and partners in a studio context.
  • Expert level proficiency with design tools, including Figma, Adobe suite, and Sketch.
  • Is an enthusiastic, highly motivated self-starter with a strong work ethic.
  • Experience utilizing quantitative and qualitative data to inform and inspire design.
  • Demonstrated ability to lead design with a design system and within brand guidelines.

Desired Qualifications:

  • Master’s or Bachelor’s degree in design with corresponding experience.
  • Financial or similar industry experience preferred.
  • Project management experience a plus.
1st shift (United States of America)

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05.05.2025
BOA

Bank Of America Associate Director - Bank America Experience Design United States, North Carolina, Charlotte

Limitless High-tech career opportunities - Expoint
Manage an interdisciplinary team to design, optimize and deliver useful and elegant, best-in-class digital experiences across web, mobile web, and native apps (iOS and Android) from a multidisciplinary, holistic perspective...
Description:

As an Associate Director you will:

  • Manage an interdisciplinary team to design, optimize and deliver useful and elegant, best-in-class digital experiences across web, mobile web, and native apps (iOS and Android) from a multidisciplinary, holistic perspective from concept to execution and implementation.
  • Manage teams, across a platform or portfolio, coaching, directing, and unblocking as needed, to produce great work that delights clients and achieves business goals.
  • Digest, communicate and guide alignment to the latest XD strategic vision, priorities, OKRs and principles while monitoring progress and identifying opportunities to increase effectiveness.
  • Independently problem solves as a practiced decision-maker in working with XD executive leaders and peers.
  • Demonstrate expertise with interpreting internal and external business challenges with a tested playbook of best practices to adapt, improve and ship best-in-class products and processes.
  • Build and lead high performing teams that operate at scale, deliver impact all while retaining top talent. Be responsible for leading employees across multiple geographies.
  • Hold each team member to the highest level of quality and professionalism, providing actionable, concise, and direct feedback to designers across the organization while leveraging situational leadership skills to actively guide career management conversations.
  • Oversee solid experience design deliverables across the design workflow, ensuring portfolio of design work is delivered on time and on budget.
  • Evaluate and benchmark existing product and service experiences while also inspiring teams to set visions for innovative digital and technology experiences.
  • Leverage data, research, and evaluative testing across the customer journey.
  • Proactively seek out strategic partnerships across organizations at every level, build strong relationships and drive thought leadership with product, technology, and business associates.
  • Evangelize and evolve our XD practice, culture, and craft, lead design meetings and actively participate in critiques.
  • Organize project and product details in partnership with project stakeholders and cross-functional teams with strong aptitude for planning, resource management and forecasting.
  • Advocate for Design Systems and scale, thinking beyond one design solution and one technical platform, seeking reusability where efficiency matters and variability when differentiation drives value.

Required Qualifications:

  • 10+ years of industry design experience, including at least 5 years in a lead multidisciplinary designer role with strong capabilities across a range of design disciplines.
  • 5+ years of managing and inspiring people to achieve their maximum potential.
  • An outstanding portfolio that exemplifies excellence in experience design demonstrating end-to-end multidisciplinary product design.
  • A strong track record leading the successful execution of large customer-facing digital products delivered from inception through launch and sustainment in partnership with cross-functional product development and design teams.
  • Knowledge of multi-channel industry standards with demonstrated success in leading and shipping consumer-facing mobile apps, responsive web and websites including system, user, ecommerce, and transactional experiences.
  • Mastery of human-centered design methodologies and rapid ideation processes such as Lean UX, Design Sprints, and Agile.
  • Able to comfortably dive into Experience Design, understand business needs, and drive decisions based on changing priorities.
  • Hands-on experience in organizational change, managing ambiguity, communications & strategy execution with ability to adapt quickly and positively to change.
  • Problem-solving without being asked, resolving issues effectively and calmly, strong time management with an intense focus on achieving results.
  • Excellent communicator in written and verbal form; strong listening and presentation skills, ability to work well with executives, with proven ability to facilitate and influence.
  • Highest level of integrity and management of confidential information.
  • Continuous learner with strong interest in, and aptitude for learning new design and technology skills.
  • Demonstrated ability to effectively lead and build strong partnerships with stakeholders and management levels.
  • Embraces the opportunity to work side by side with other designers and partners in a studio context.
  • Expert level proficiency with design tools, including Figma, Adobe suite, and Sketch.
  • Is an enthusiastic, highly motivated self-starter with a strong work ethic.
  • Experience utilizing quantitative and qualitative data to inform and inspire design.
  • Demonstrated ability to lead design with a design system and within brand guidelines.

Desired Qualifications:

  • Master’s or Bachelor’s degree in design with corresponding experience.
  • Financial or similar industry experience preferred.
  • Project management experience a plus.
1st shift (United States of America)

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04.05.2025
BOA

Bank Of America GCIB Data Architecture Program Lead Director United States, North Carolina, Charlotte

Limitless High-tech career opportunities - Expoint
Partner with the Data Strategy & Management Executive (DSME) in the design of GCIB data strategy & initiatives roadmap. Execute programs for successful implementation and sustainability. Transform GCIB’s data strategy...
Description:

Job Description

Global Corporate & Investment Banking (GCIB) is enhancing its data management capabilities. This includes executing a strong data architecture program. This role will play a pivotal part in driving these enhancements and their ongoing sustainment. The role requires a strategic approach to managing the risk and business enablement priorities from data perspective. It also requires partnering with stakeholders in GCIB and the rest of the Enterprise to drive regulatory adherence, strengthen frameworks for data architecture and privacy, enhance operational excellence and meet GCIB’s goal to be the best-in-class. The role covers key data management pillars – adherence to policy/standards, implementing a balanced data strategy for the business, developing and governing data domains, designing and delivering a strong controls program and supporting GCIB leadership in making informed decisions.

Key responsibilities include but are not limited to:

  • Partner with the Data Strategy & Management Executive (DSME) in the design of GCIB data strategy & initiatives roadmap. Execute programs for successful implementation and sustainability
  • Transform GCIB’s data strategy into executable plans and oversee completion. Adapt strategy according to near-term priorities and long-term roadmap
  • Design and execute GCIB’s MNPI adherence strategy across all processes and platforms, including outgoing data pipes
  • Document, own and execute the data architecture oversight process as well any related key control areas
  • Develop and execute GCIB’s data architecture while ensuring related policy adherence
  • Regular engagement with stakeholders from supporting data domains for review of areas impacting GCIB data
  • Implementation of golden source structure for GCIB deal data domain and ongoing review of additional needs for registry and implementation
  • Engage in annual initiative and regulatory funding cycle for GCIB, partnering to ensure key data strategy priorities are reviewed as part of the cycle for appropriate prioritization
  • Engage in audits, regulatory exams and target assessment, as required
  • Ensure compliance with applicable policies and standards along with evidence of compliance
  • Coordinate across GCIB product areas to ensure consensus on approach for new data domains, golden sources and controls
  • Establish and execute on a structured channel to review GCIB processes so that they remain adherent to data architecture strategy
  • Escalate risks to programs. Partner with key stakeholders and develop solutions and deliver mitigating actions in support of successful completion of the program
  • Develop strong relationships to navigate the complexities of gaining buy-in, building consensus, and resolving conflicts in a large, distributed organization
  • Build and manage a cross-regional team of high performers and develop a team culture based on BofA’s core values and GCIB’s goals

Key Requirements:

  • Experience in similar role along with cross-regional team management experience
  • 20+ years of experience in strategic risk program governance (preferred)
  • Experience with dealing with complexity of Global data issues and regulations
  • Understands GCIB business and products and can take ownership of delivery
  • Strong leadership qualities and result driven approach
  • Excellent verbal and written communication skills and ability to simplify and summarize complex data priorities / technical concepts to executive stakeholders
  • Ability to work in fast-paced, work-intensive organization and be able to adapt to changing priorities while delivering with high accuracy
  • Passion for building a culture of collaboration and team-work
  • Ability to operate independently and collaborate across wide span of stakeholders including bankers, senior leaders, risk partners and regulators / auditors
  • Control focused mindset and good understanding of regulatory and reputational risks
1st shift (United States of America)

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27.04.2025
BOA

Bank Of America Client Outreach VP/Director Manager United States, North Carolina, Charlotte

Limitless High-tech career opportunities - Expoint
Outreach to clients requesting and collecting KYC documentation. Assign Outreach contacts and serve as the key point of contact for relevant Clients as well as Bankers, Operations, Risk and other...
Description:

The Function
The Client Outreach team are the front line unit who work with clients as part of meeting Know Your Client (KYC) periodic refresh and remediation requirements. We work in close collaboration with Global Corporate and Investment Bankers and Global Markets Sales to support the Bank’s global regulatory and policy requirements as it relates Client Due Diligence (CDD) documentation collection, with support from Operations and Global Financial Crimes Risk teams.

The team identifies and develops client connections, engages client representatives to obtain KYC documentation, and acts as a coordination point for resolving issues/challenges with respect to client and country specific documentation requirements in a timely manner.

The Role

The KYC Client Outreach Specialist (COS) teams serve as the Front Line Unit engaging with clients across business sectors and regions to meet KYC requirements for periodic refreshes in a timely manner.

Role Responsibilities

  • Outreach to clients requesting and collecting KYC documentation
  • Assign Outreach contacts and serve as the key point of contact for relevant Clients as well as Bankers, Operations, Risk and other internal functions
  • Partners with KYC support to review, challenge and communicate the KYC refresh forecast including any considerations as it relates to internal capacity as well as client population considerations
  • Drive ownership of client engagement and work across Lines of Business to close relationship coverage gaps, if any
  • Establishing and owning team/stakeholder routines to maintain transparency of progress, expectations, and provide a forum for escalations across industry coverage
  • Drives the organization and recording of client contacts in appropriate systems of record
  • Own any requirements as it relates to client-related discussions in internal governance routines within the FLU and those governed by support partners
  • Oversees and resolves the risks and impacts of non compliance with KYC processes, including restrictions, closures and associated business growth impacts
  • Consolidate client feedback on policy, requirements and/or jurisdictional nuances where given to help improve the Bank’s processes across lines of business and regions
  • Raise process issues and improvements that collectively help our clients
  • Partner with colleagues in Banking, Sales,, FLU COOs, FLU Change, FLU Business Controls, Operations, and other groups as needed
  • Review clients for appropriate activity and liaise with Bankers on whether relationships with specific entities should continue
  • Own the Outreach of both periodic refreshes as well as remediation and associated programs
  • Own the Outreach of jurisdictionally or regionally stringent requirements where needed
  • Own timely collection of client required documentation, including follow ups where needed
  • Ensure voice of the client is heard while adhering to policies, laws, rules and regulations
  • Consider, propose or feedback on potential client portals or improved methods of interaction
  • Own performance metrics, and ensure any exceptions are resolved within required timeframes
  • Master customer due diligence (CDD) requirements and guide clients as needed to comply
  • Drives the collection of enhanced customer due diligence (ECDD) requirements and guide clients as needed to comply
  • Represent Outreach onexam/audit/regulatorymanagement from a FLU perspective, where needed
  • Adhere to bank privacy policies in securing non-public information obtained as part of KYC activities
  • Ensure hiring and mobility adhere to the KYC FLU location strategy
  • Embrace a collaborative and output oriented culture

Required Skills

  • Bachelor's degree or equivalent work experience
  • 10+ years experience in a client facing role within the financial services or a related industry
  • Preferred: Certified Anti-Money Laundering Specialist (“CAMS”)
  • Knowledge of AML CDD policy and standards, industry practices in AML CDD, including legal entities in global jurisdictions
  • Must demonstrate a strong client focus
  • Demonstrable ability to work across lines of business, regions and global client groups
  • Understands how the client book fits into the overall business growth strategy
  • Understand big picture and ability to work well independently
  • Ability to initiate and build strong relationships with all levels of the organization
  • Excellent interpersonal skills for motivation, collaboration and encouragement
  • Professional Demeanor: Demonstrating patience, composure, and positive attitude.
  • Problem Solving and Decision Making Skills: Thinking analytically, using diverse research skills, applying past experiences to problem resolution, developing multiple resolutions, knowing how to and where to go to resolve problems.
  • Flexibility and Adeptness: Handling multiple projects and daily tasks adjust to a changing environment adept to new approaches that improve overall work efficiency and effectiveness.
  • Initiative: Identify process improvements, demonstrate a "self-starter" behavior and a willingness to help others, and show potential to require minimal supervision.
  • Strong organizational skills and ability to prioritize and manage competing priorities with excellent attention to detail
  • Excellent proficiency using Microsoft office products, particularly Microsoft PowerPoint, Excel, Word
1st shift (United States of America)

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22.04.2025
BOA

Bank Of America Associate Director - Bank America Experience Design United States, North Carolina, Charlotte

Limitless High-tech career opportunities - Expoint
Manage an interdisciplinary team to design, optimize and deliver useful and elegant best-in-class digital experiences across web, mobile web, and native apps (iOS and Android) from a multidisciplinary, holistic perspective...
Description:

Job Description:

Job Description:

As an Associate Director you will:

  • Manage an interdisciplinary team to design, optimize and deliver useful and elegant best-in-class digital experiences across web, mobile web, and native apps (iOS and Android) from a multidisciplinary, holistic perspective from concept to execution and implementation
  • Manage teams, across a platform or portfolio, coaching, directing and unblocking as needed, to produce great work that delights clients and achieves business goals
  • Digest, communicate and guide alignment to the latest XD strategic vision, priorities, OKRs and principles while monitoring progress and identifying opportunities to increase effectiveness
  • Independently problem solves as a practiced decision-maker in working with XD executive leaders and peers
  • Demonstrate expertise with interpreting internal and external business challenges with a tested playbook of best practices to adapt, improve and ship best-in-class products and processes
  • Build and lead high performing teams that operate at scale, deliver impact all while retaining top talent. Be responsible for leading employees across multiple geographies
  • Hold each team member to the highest level of quality and professionalism, providing actionable, concise, and direct feedback to designers across the organization while leveraging situational leadership skills to actively guide career management conversations
  • Oversee solid experience design deliverables across the design workflow, ensuring portfolio of design work is delivered on time and on budget
  • Evaluate and benchmark existing product and service experiences while also inspiring teams to set visions for innovative digital and technology experiences
  • Leverage data, research, and evaluative testing across the customer journey.
  • Proactively seek out strategic partnerships across organizations at every level, build strong relationships and drive thought leadership with product, technology and business associates
  • Evangelize and evolve our XD practice, culture, and craft, lead design meetings and actively participate in critiques
  • Organize project and product details in partnership with project stakeholders and cross-functional teams with strong aptitude for planning, resource management and forecasting
  • Advocate for Design Systems while simultaneously thinking beyond one design solution and one technical platform, seeking reusability where efficiency matters and variability when differentiation drives value

Required Qualifications:

  • 10+ years of industry design experience, managing and inspiring people to achieve their maximum potential
  • 3+ years in a lead designer role with capabilities across a range of design disciplines
  • An outstanding portfolio that exemplifies excellence in experience design demonstrating end-to-end multidisciplinary product design
  • A strong track record leading the successful execution of large customer-facing digital projects delivered from inception through launch and sustainment in partnership with cross-functional product development and design teams
  • Knowledge of multi-channel industry standards with expertise leading and shipping consumer-facing mobile apps, responsive web and websites including system, user, ecommerce, and transactional experiences
  • Mastery of human-centered design methodologies and rapid ideation processes such as Lean UX, Design Sprints, and Agile
  • Able to comfortably dive into Experience Design, understand business needs, and facilitate decisions based on changing priorities
  • Hands-on experience in organizational change, managing ambiguity, communications & strategy execution with ability to adapt quickly and positively to change
  • Problem-solving without being asked, resolving issues effectively and calmly, managing time well and an intense focus on achieving results
  • Excellent communicator in written and verbal form; strong listening, ability to work well with executives, and ability to facilitate and influence
  • Highest level of integrity and management of confidential information
  • Continuous learner with strong interest in, and aptitude for learning new design and technology skills
  • Demonstrated ability to effectively lead and build strong partnerships with stakeholders and management levels
  • Embraces the opportunity to work side by side with other designers and partners in a studio context
  • Challenges conventional thinking
  • A high level of proficiency with design tools, including the Figma, Adobe suite, InVision and Sketch
  • Is an enthusiastic, highly motivated self-starter with a strong work ethic
  • Experience utilizing quantitative and qualitative data to inform and inspire design
  • Demonstrated ability to lead design with a design system and within brand guidelines
  • Has the availability to work weekends and/or extended hours as needed to operate the business

Desired Qualifications:

  • Master’s degree in design or Bachelor’s with corresponding experience
  • Financial or similar industry experience preferred
  • Project management experience a plus
1st shift (United States of America)

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These jobs might be a good fit

20.04.2025
BOA

Bank Of America Client Outreach VP /Director Manager United States, North Carolina, Charlotte

Limitless High-tech career opportunities - Expoint
Outreach to clients requesting and collecting KYC documentation. Assign Outreach contacts and serve as the key point of contact for relevant Clients as well as Bankers, Operations, Risk and other...
Description:

The Function
The Client Outreach team are the front line unit who work with clients as part of meeting Know Your Client (KYC) periodic refresh and remediation requirements. We work in close collaboration with Global Corporate and Investment Bankers and Global Markets Sales to support the Bank’s global regulatory and policy requirements as it relates Client Due Diligence (CDD) documentation collection, with support from Operations and Global Financial Crimes Risk teams.

The team identifies and develops client connections, engages client representatives to obtain KYC documentation, and acts as a coordination point for resolving issues/challenges with respect to client and country specific documentation requirements in a timely manner.

The Role

The KYC Client Outreach Specialist (COS) teams serve as the Front Line Unit engaging with clients across business sectors and regions to meet KYC requirements for periodic refreshes in a timely manner.

Role Responsibilities

  • Outreach to clients requesting and collecting KYC documentation
  • Assign Outreach contacts and serve as the key point of contact for relevant Clients as well as Bankers, Operations, Risk and other internal functions
  • Partners with KYC support to review, challenge and communicate the KYC refresh forecast including any considerations as it relates to internal capacity as well as client population considerations
  • Drive ownership of client engagement and work across Lines of Business to close relationship coverage gaps, if any
  • Establishing and owning team/stakeholder routines to maintain transparency of progress, expectations, and provide a forum for escalations across industry coverage
  • Drives the organization and recording of client contacts in appropriate systems of record
  • Own any requirements as it relates to client-related discussions in internal governance routines within the FLU and those governed by support partners
  • Oversees and resolves the risks and impacts of non compliance with KYC processes, including restrictions, closures and associated business growth impacts
  • Consolidate client feedback on policy, requirements and/or jurisdictional nuances where given to help improve the Bank’s processes across lines of business and regions
  • Raise process issues and improvements that collectively help our clients
  • Partner with colleagues in Banking, Sales,, FLU COOs, FLU Change, FLU Business Controls, Operations, and other groups as needed
  • Review clients for appropriate activity and liaise with Bankers on whether relationships with specific entities should continue
  • Own the Outreach of both periodic refreshes as well as remediation and associated programs
  • Own the Outreach of jurisdictionally or regionally stringent requirements where needed
  • Own timely collection of client required documentation, including follow ups where needed
  • Ensure voice of the client is heard while adhering to policies, laws, rules and regulations
  • Consider, propose or feedback on potential client portals or improved methods of interaction
  • Own performance metrics, and ensure any exceptions are resolved within required timeframes
  • Master customer due diligence (CDD) requirements and guide clients as needed to comply
  • Drives the collection of enhanced customer due diligence (ECDD) requirements and guide clients as needed to comply
  • Represent Outreach onexam/audit/regulatorymanagement from a FLU perspective, where needed
  • Adhere to bank privacy policies in securing non-public information obtained as part of KYC activities
  • Ensure hiring and mobility adhere to the KYC FLU location strategy
  • Embrace a collaborative and output oriented culture

Required Skills

  • Bachelor's degree or equivalent work experience
  • 10+ years experience in a client facing role within the financial services or a related industry
  • Preferred: Certified Anti-Money Laundering Specialist (“CAMS”)
  • Knowledge of AML CDD policy and standards, industry practices in AML CDD, including legal entities in global jurisdictions
  • Must demonstrate a strong client focus
  • Demonstrable ability to work across lines of business, regions and global client groups
  • Understands how the client book fits into the overall business growth strategy
  • Understand big picture and ability to work well independently
  • Ability to initiate and build strong relationships with all levels of the organization
  • Excellent interpersonal skills for motivation, collaboration and encouragement
  • Professional Demeanor: Demonstrating patience, composure, and positive attitude.
  • Problem Solving and Decision Making Skills: Thinking analytically, using diverse research skills, applying past experiences to problem resolution, developing multiple resolutions, knowing how to and where to go to resolve problems.
  • Flexibility and Adeptness: Handling multiple projects and daily tasks adjust to a changing environment adept to new approaches that improve overall work efficiency and effectiveness.
  • Initiative: Identify process improvements, demonstrate a "self-starter" behavior and a willingness to help others, and show potential to require minimal supervision.
  • Strong organizational skills and ability to prioritize and manage competing priorities with excellent attention to detail
  • Excellent proficiency using Microsoft office products, particularly Microsoft PowerPoint, Excel, Word
1st shift (United States of America)

Show more

These jobs might be a good fit

Limitless High-tech career opportunities - Expoint
Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required. Develops and...
Description:
Charlotte, North Carolina, United States of America

$200,000 - $280,000 USD


Job Description:

The Compliance Director, Annual Plan Development, Monitoring, and Reporting provides leadership into the strategic vision for our approach to design coverage methodologies across the three lines of defense, drive integration in coverage planning, and implement coverage tracking and reporting for compliance monitoring and testing activities.

Depth & Scope:

  • Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required
  • Develops and owns the methodology for data aggregation, risk coverage, and reporting to support monitoring and testing by 2nd line including compliance risk and controls
  • Works with other first, second- and third-line functions to build an integration planning strategy
  • Develops a coordinated and ultimately consolidated testing calendar for the 2nd line functions to maximize efficiency
  • Drives the use of RPA and artificial intelligence by the testing functions
  • Determines, with other partners, the technology solution for monitoring and testing files and working paper retention
  • Provides thought leadership and input into the strategic vision for the Bank's approach to compliance risk coverage
  • Leads second line of defense data coordination for holistic testing and monitoring reporting by working in close partnership with other second line stakeholders (e.g. Risk, AML, HR)
  • Supports the development of Board reporting on monitoring and testing trends, key issues and action plans
  • Cultivates strong relationships with management across TD
  • Develops and maintains constructive relationships across second line to develop target state methodology for risk coverage
  • Ensures that Compliance Department strategic initiatives and directives are carried out effectively and that those strategic initiatives and directives comply with all relevant regulatory requirements, standards and expectations, as well as internal compliance policies

Education & Experience:

  • Bachelor's degree required
  • 10+ years related experience required
  • In-depth knowledge of financial services, regulatory industry practices
  • Strong data analytic experience, specifically tied to regulatory activities
  • Regulatory, industry and operational knowledge with respect to testing and monitoring.
  • Ability to operate in a cross-functional capacity in the first and second lines.
  • Strong Control/Risk Management mindset.
  • Negotiation skills and forward looking with an ability to drive and implement change and solve problems.
  • Focus on developing and strengthening robust relationships with senior leaders and key stakeholders

Our Total Rewards Package


awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition.



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.
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

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