Senior Compliance Officer - Issues Management & Program Reporting jobs at Td Bank in United States, New York

This job is responsible for building and leading a team to deliver technology products and services that meet business outcomes. Key responsibilities include contributing to a technology strategy and ensuring technology solutions comply with applicable system design enterprise standards. Job expectations include advocating and advancing modern and automated practices and promoting exceptional design, engineering and organizational practices.

senior lead/architectto join Collaboration and Productivity team as we move from being a tech-enabled service to a tech product hub. We are looking for passionate and enthusiastic people who are energized by solving complex business problems and provide excellent technical solutions. The role requires experience in all aspects of software development, as well as a proven track record of development of enterprise solutions. Candidate will be required to produce detailed, low level technical designs for implementation by development teams while ensuring all solutions seamlessly integrate with other technologies within the bank. Collaborate with internal and external subject matter experts, including line of business, business technology teams, operational support teams, various technology organizations, and vendors to develop and support design of Data Retention and Legal Hold. Responsible for adhering to, owning, updating, and creating necessary security standards. Ownership of controls to ensure platform operates efficiently and flawlessly.

Responsibilities:

• Provides solution design feedback to Solution II, Development Operations II, and Site Reliability Engineers and manages solution delivery as relevant to teams
• Facilitates solution-driven discussions, leads the design of complex architectural components, and finds creative solutions using knowledge of the domain and operational constraints
• Leads rapid shaping of infrastructure and application architecture to solve for emerging business requirements, ensuring design is flexible and modular
• Designs solutions that are compliant all relevant risk, financial, and compliance polices, and standards
• Manages the application performance in production (application health, resiliency, performance, security, enterprise data management standards, audit exams and reviews)
• Participates in various steering committees for technical and infrastructure service domains
• Collaborate with Product & Service team to understand requirements and set objectives in line with end-to-end solution delivery plan.
• Work with Product, Engineering, and Service Delivery teams to prioritize new features and capabilities; oversee sprint delivery and ensure alignment with end-to-end service delivery.
• Participate in solution driven discussions, contribute to the design of large or highly complex designs, and find creative solutions using knowledge of the domain with consideration for operational and/or performance constraints.
• Decompose complex tasks into actionable work units and deliverables and assign work units to individuals.
• Ensure delivery detailed documentation for team consumption and use by Operations team for support.
• Perform deep dive analysis of automation breaks, identify solutions, and manage through resolution.
• Respond to risk or audit identified issues with designs that ensure compliance with software best practices, release standards, and policies.
• Contribute to the development strategy for respective technical domain and lead senior teammates.
• Mentor and guide senior engineers ensuring system design technology solutions comply with enterprise system design and engineering standards.

Required Qualifications:

• 10+ years of Java/J2EE,
• Javascript
• Node JS
• Spring and J2EE design patterns
• SQL
• Server-side RESTful web services

Desired Qualifications:

• CTI APIs, including TSAPI, JTAPI, Lync UCWA, HTML5, CSS3, Bootstrap/JQuery, AngularJS, JUnit Framework Jenkins automation framework

Skills:

• Analytical Thinking
• Collaboration
• Innovative Thinking
• Solution Delivery Process
• Solution Design
• Architecture
• Automation
• Influence
• Risk Management
• Technical Strategy Development
• Adaptability
• Application Development
• Business Acumen
• DevOps Practices
• Production Support

Job Description:

This job is responsible for handling complex and escalated customer situations regarding possible fraudulent account activity. Key responsibilities include receiving inbound calls and takes appropriate action requiring accuracy on complex transactions. Job expectations include performing functions related to research and resolution of fraudulent activity, service support, and delivering practical, innovative solutions to clients while focusing on retention and re-establishing client confidence.

Wealth Management Fraud & Claims associates will handle inbound calls from clients, branch offices, banking centers, and various internal associates. They will also be responsible for the claim initiation and status updates of various fraud and billing disputes, on our clients’ bank accounts. Associates will handle a wide variety of claim types including but not limited to: credit card, debit card, ATM, check fraud, ACH, and online wire transfers for wealth banking products.

Responsibilities:

• Services banking products with high-risk activity to maximize approval of legitimate transactions, minimize client impact at the point of sale, identify fraudulent activity and restrict account activity
• Assists Fraud Strategy partners with development of new tactics by facilitating controlled tests and simulations within the production environment
• Tests existing customer facing capabilities (credit, debit, transactions, deposit activity, and online activities) for unknown vulnerabilities resulting in potential fraudulent exploitation and unplanned loss
• Participates in triage related to Executive Escalations & Incident Response fraud activities
• Reviews and investigates reports of suspected fraudulent activity with accurate recording of data captured during client interactions
• Follows established processes and guidelines in daily activities to do what is right for clients and the bank, adhering to all applicable laws and regulation
• Assist clients and internal partners with banking claim and suspicious alert inquiries, initiation and updates

**1st Shift hours vary from 7:00am - 6:00pm EST. Must be willing to work a Weekend Day**

Required Qualifications:

• 1+ years of fraud servicing or call center experience.
• Has strong analytical and organizational skills and demonstrates the ability to solve complex problems by reviewing related information
• Demonstrates a strong sense of urgency and is able to work in a fast-paced, ever-changing environment with a strong focus on risk mitigation and client experience.
• Displays passion, integrity, commitment and drive to deliver a positive, differentiated service that improves our clients’ financial lives
• Fully understands how life events can impact a client’s financial situation and is prepared to actively advise solutions and analyze/resolve complex client problems through creative solutions
• Commitment to excellent attendance with proven reliability and can adhere to the agreed upon work schedule
• Dependable team-player attitude with an understanding that calls must be handled immediately, including weekends and holidays
• Communicates effectively and confidently with all clients to make their financial lives better
• Ability to engage with clients while navigating multiple screens – begin a conversation, anticipate what questions a client will have, actively share information using plain language, build rapport, and handle objections
• Comfortable receiving ongoing performance feedback and coaching
• Ability to learn and adapt to new information and technology platforms
• Minimum of an intermediate level of proficiency with computers and current technology

Desired Qualifications:

• Experience in a call center or a financial/banking center
• Fraud Detection and Prevention
• Credit Risk

Skills:

• Customer and Client Focus
• Data Collection and Entry
• Due Diligence
• Issue Management
• Oral Communications
• Active Listening
• Adaptability
• Attention to Detail
• Policies, Procedures & Guidelines
• Written Communications
• Business Acumen
• Collaboration
• Critical Thinking

This job is responsible for providing advice and valuable financial solutions to complex Business Banking clients and prospects. Key responsibilities include serving as the primary point of contact/trusted advisor and acquiring, deepening, and maintaining profitable relationships, collaborating with teammates and facilitating client relationships with Product Specialists. Job expectations include having knowledge of the bank's products and services in order to identify cross-selling opportunities and increase overall client satisfaction.

Responsibilities:

• Manages an extensive portfolio of complex clients and prospects with annual revenues of $5-50 million and helps companies save, borrow, and invest for their current and future needs
• Acquires, deepens, and maintains profitable client relationships through sales, prospecting and enhancing existing relationships
• Understands and interprets financial and cash flow statements to assess and analyze financial conditions of companies and industry trends
• Collaborates with local market stakeholders and teammates throughout the bank, including Investment Banking, Foreign Exchange, and Wealth Management and facilitates client relationships with Product Specialists in Credit, Treasury Management, and Merchant Services in order to design and deliver financial solutions to clients and prospects
• Leads and facilitates dialogue with a variety of complex clients and prospects regarding topics such as the client and prospect industry, alternative capital structures, and general business issues
• Coaches and mentors peers, while utilizing leadership skills
• Adapts to changes in sales practices and broader market and industry conditions as needed

Skills:

• Business Development
• Client Experience Branding
• Client Management
• Client Solutions Advisory
• Relationship Building
• Account Management
• Financial Analysis
• Leadership Development
• Loan Structuring
• Referral Identification
• Credit Documentation Requirements
• Pipeline Management
• Referral Management
• Regulatory Compliance
• Risk Management

High School Diploma / GED / Secondary School or equivalent

Job Description:

Merrill is committed to an in-office culture with specific requirements for office-based attendance and which allows for an appropriate level of flexibility for our teammates and businesses based on role-specific considerations.

This job is responsible for providing client service support to potentially multiple Financial Advisors (FAs). Key responsibilities include supporting enterprise strategic objectives, operational excellence goals, and client advocacy within the FA's business, while customizing solutions based on their specific needs. Job expectations include serving as the most frequent point of contact within Merrill to address all service needs of their clients.

Responsibilities:

• Provides excellent Client Service to the bank's clients through educating them on all of the bank's service and banking offerings

• Ensures timeliness, accuracy, and completeness in client materials and follows up on all client and Financial Advisor (FA) requests

• Assists with ensuring practices are in alignment with the bank's policies and procedures to support operational excellence, protect the bank's clients, and manage risk

• Identifies, deepens, and maintains client relationships through emphasizing the bank's offerings and promoting incorporation of banking into day-to-day practices, while communicating outputs to the FA

• Supports day-to-day team activities and needs including covering roles in times of absence or seasonal need increases, while leading with a client first mindset

Skills:

• Account Management

• Client Management

• Customer and Client Focus

• Issue Management

• Oral Communications

• Business Development

• Client Solutions Advisory

• Pipeline Management

• Prioritization

• Administrative Services

• Emotional Intelligence

• Referral Identification

• Written Communications

High School Diploma / GED / Secondary School or equivalent

Job Description:

Our team seeks experienced Senior Site Reliability Engineers (SREs) to design, build, and maintain our next-generation AWS platform. This role provides opportunity to work with a wide range of technologies, integrate a variety of in-house and commercial services which must seamlessly interact with each other giving you room to innovate and be creative. This job is responsible for partnering with leaders across engineering and technology to define objective reliability goals for services. Key responsibilities include composing observability designs through instrumentation and dashboards, identifying root causes of complex/impactful issues, partnering with cross functional teams to deliver sustainable design patterns, and driving early adoption of non-functional production support requirements. Job expectations include automating services to improve reliability and efficiency and influencing a culture of innovation and continuous improvement.

Responsibilities:

• Designs solutions to visualize key production support metrics enabling Operational Readiness and Site Reliability Engineer teams to identify scenarios requiring intervention
• Develops software solutions and/or improved processes to address work identified as ‘toil’ by collaborating with key partners to identify, track and remediate processes to free time allocated to reliability
• Partners with Development and Infrastructure teams to create error budget policies prioritizing reliability stories that fall below Service Level Objective (SLO) thresholds and suggests code optimizations, additional instrumentation and/or logging structures to gain service reliability visibility
• Identifies and plans for capacity bottlenecks, vulnerabilities and opportunities for reliability improvement, such as low level error rates and 'noise', and reduces manual support effort and/or improves system reliability
• Assesses monitoring for new changes with development partners and works with monitoring tools team to monitor dashboards and enhance application and system monitoring designs
• Engages as a subject matter expert in incident triage efforts, failure scenario modelling and works with the Problem Manager to diagnose root causes for complex/high impact incident/problem management investigations
• Collaborates with Development and Infrastructure teams to understand technical solutions and develop Service Level Indicators and SLOs to measure/improve the reliability of the services they support

As part of a growing team with colleagues that are fun, smart, hardworking, and driven, you'll be expected to:

• Collaborate with a diverse set of engineers, architects, and teams to design, develop, test, and implement secure, scalable, and highly available Infrastructure as Code, Observability as Code, and Operations as Code solutions for the bank's AWS Platform
• Design and implement deployment pipelines for highly scalable, automated, continuous integration and continuous delivery pipelines
• Be responsible for all aspects of reliability, collaborating with technical experts, key stakeholders, and team members to resolve complex problems, owning issues through permanent resolution
• Have a deep understanding of SRE practices, service level indicators, and service level objectives proactively defining them to prevent customer impact
• Analyze diverse data sets and create visualizations to drive platform improvements
• Implement infrastructure, configuration, and network as code for the applications and platforms in your remit
• Identify opportunities to eliminate toil and automate the triage of issues to improve overall operational stability
• Collaborate with others to identify, analyze, and resolve platform vulnerabilities
• Proactively promotes the adoption of site reliability engineering best practices within the team and organization
• Participate in 24x7 on-call coverage following a follow-the-sun model and perform blameless Postmortems (RCAs) as needed

Required Skills

• 15 years of combined experience in either SRE, software development, or infrastructure engineering (10 years with an advanced degree in Computer Science or related technical field).
• Significant, hands-on experience building and maintaining an enterprise AWS platform and its services using infrastructure as code, automation, and native services related to compute, storage, networking, security, and observability
• Extensive experience with monitoring tools such as Grafana, Prometheus, Splunk, or Dynatrace, as well as AWS native tools like CloudWatch, X-Ray, and CloudWatch Logs
• Significant proficiency with using Infrastructure as Code tools such as Terraform to build cloud infrastructure solutions, automating cloud deployments, and delivering artifacts like AMI and Container Images.
• Proficient in implementing CI/CD pipelines with tools such as git and Terraform, familiarity with using a GitOps model
• Proficient in at least one programming language such as Python, Java/Spring Boot, or .Net
• Advanced knowledge of networking (firewalls, DNS, Load Balancing, Proxies, etc.)
• Wide understanding of Linux & Windows operating systems including shell scripting
• Excellent interpersonal, organizational and communication (written, verbal, and presentation) skills are a must

Desired Skills

• Strong experience working with a complex IAM infrastructure, including Active Directory, AWS IAM Identity Center, and PingFederate or other SSO solutions
• Substantial experience in implementing, monitoring, and maintaining a highly scalable and resilient Data Services platform on AWS (DynamoDB, AWS Glue Data Catalog, or Bedrock and other AWS AI services)
• Extensive experience with EC2, Storage solutions including S3
• Substantial familiarity with Amazon EKS, AWS Lambda and Step Functions, CloudFormation templates
• Understanding of cost management, inventory management, RBAC, and SIEM model
• A proven ability to work independently with minimal supervision and as part of a team with direct responsibilities and an ability to quickly prioritize and adapt to changes in project scope

Skills:

• Architecture
• Collaboration
• Innovative Thinking
• Result Orientation
• Solution Design
• Adaptability
• Analytical Thinking
• Influence
• Stakeholder Management
• Technical Strategy Development
• Automation
• DevOps Practices
• Production Support
• Project Management
• Risk Management

Job Description:

Merrill is committed to an in-office culture with specific requirements for office-based attendance and which allows for an appropriate level of flexibility for our teammates and businesses based on role-specific considerations.

This job is responsible for partnering with Merrill Financial Advisors (FAs) to deliver banking and borrowing solutions to their clients. Key responsibilities include creating relationships with FAs to deepen Merrill client relationships by connecting them to consumer banking solutions and providing ongoing servicing of those solutions. Job expectations include providing comprehensive banking solutions to clients, serving as a digital product expert, as well as identifying and encouraging FA client referrals to other Bank of America specialists.

Responsibilities:

• Emphasizes broader banking implications and benefits to Financial Advisors (FAs) and their teams to promote incorporation of banking into day-to-day FA practices and operations
• Partners with Financial Advisor teams to educate clients on banking products and help navigate complex client situations
• Delivers a high-quality client experience that is consistent with the expectations of a Wealth Management client by providing comprehensive financial solutions to clients, including managing expenses, building wealth, and managing debt
• Ensures exceptional client service quality delivery by supporting the operational execution of tasks and conducting follow-up routines to meet client needs
• Understands and accesses the full breadth of resources across the bank to create opportunities that meet a client's diverse financial needs

Skills:

• Account Management
• Client Solutions Advisory
• Customer and Client Focus
• Influence
• Relationship Building
• Advisory
• Client Experience Branding
• Executive Presence
• Networking
• Sales Performance Management
• Attention to Detail
• Pipeline Management
• Presentation Skills
• Prioritization
• Referral Identification

High School Diploma / GED / Secondary School or equivalent

Job Description:

Job Description:

This job is responsible for planning and coordinating the execution of large program deliverables which requires engagement across multiple organizations. Key responsibilities include communicating target outcomes, coordinating delivery, resource planning, providing visibility of program health, and managing program risks, compliance, and financials. Job expectations include ensuring delivery meets the client’s expectations in terms of the target outcomes, timeline, and cost and facilitating sync points between business and technology leaders and Risk and Compliance partners.

This role is responsible for planning and coordinating the execution of large initiatives, program deliverables which requires the engagement of multiple teams. Responsibilities include communicating work objectives, coordinating delivery, facilitating sync points across teams, providing end-to-end visibility into the health of the deliverables, and managing program risk and compliance to standards. This role ensures delivery meets the client’s expectations in terms of the functionality, quality, timeline, and cost.

Responsibilities:

• Leads and coordinates routines to support delivery of large programs, such as kick-offs, status reviews, stakeholder meetings, change controls, and tollgates.

• Broadens relationships with business and technology leaders across multiple organizations, as well as Compliance and Risk.

• Establishes target outcomes in partnership with stakeholders and leaders.

• Tracks success metrics and provides status updates to stakeholders and leadership pertaining to the target outcomes, delivery, performance, risks, issues, and schedule.

• Collaborates with sponsors and stakeholders to ensure that execution is aligned with deliverable requirements.

• Manages program financials and supports resource planning.

• Ensures adherence with Enterprise Change Management standards.

Required Qualifications:

• 10+ Years of experience working as a Delivery Lead in Technology space.

• Planning, setup and monitoring - plan programs, creation of program and projects using bank proprietary tools and monitor their progress to ensure they meet goals, schedules, budgets, and benefits.

• Overseeing projects under the program - coordinate projects across an organization, ensuring they run smoothly and follow program goals. They oversee many projects run by project managers.

• Managing budgets - ensure funds are allocated appropriately across current and future projects and manage to budget vs. allocations within 1% variance.

• Managing risks and conflicts - manage risks and conflicts and take corrective measures.

• Managing communication - handle communication with stakeholders.

• Managing artifacts and reporting - manage crucial program artifacts through various bank proprietary tools, presentations to key stakeholders, reporting on program status. People management.

Desired Qualifications:

• Having handled large Risk, AML related programs / initiatives

Skills:

• Collaboration

• Project Management

• Result Orientation

• Solution Delivery Process

• Stakeholder Management

• Analytical Thinking

• Business Acumen

• Financial Management

• Influence

• Risk Management

• Agile Practices

• Architecture

• Data Management

• Solution Design

• Technical Strategy Development

: Bachelor’s degree or equivalent work experience.