Td Bank AML Financial Crime Risk Oversight Specialist 

Canada, Ontario, Toronto 

383822279

Toronto, Ontario, CanadaFinancial Crime Risk Management

$ 91,200 - $ 136,800 CAD

KEY ACCOUNTABILITIES

• Lead the Enterprise Risk Assessments (ML/TF and ABAC) process by providing effective review and challenge to TD Securities business segments and Corporate Functions, which includes Inherent Risk and Controls Assessments
• Lead the Regulatory Compliance Management (RCM) process by providing effective review and challenge to TD Securities business segments and Corporate Functions, which include Inherent Risk, Program Effectiveness and Control Effectiveness Assessments
• Act as a subject matter expert by overseeing and providing guidance to TD Securities business segments throughout the life cycle of the client relationship with TDS, which includes Prime Brokerage, Corporate Investment Banking, and Global Markets
• Review and challenge New Business Product initiatives and Change Initiatives from TDS business segments and technology stakeholders to assess impacts to AML/Sanctions/ABAC controls
• Provide expert/specialized regulatory compliance and prudential risk management guidance on AML/ATF /Sanctions/ABAC matters affecting covered TD businesses
• Supports the development of annual specialized training for TDS business segments
• Oversee demarket decisions, case investigations, watchlist / negative news management by FCRM teams that support TDS
• Escalate and manage to resolution significant issues and events
• Represent FCRM on internal or external committees/inquiries relating to designated business activities as required
• Deliver subject matter expertise andAML/ATF/Sanctions/ABACguidance to business management, including developing and maintaining management reporting and analysis
• Act as key liaison with partners and external groups and provide subject matter expertise at the department level
• Guide and partner with covered TD businesses through the development, implementation, oversight, and management of effectiveAML/ATF/Sanctions/ABACCompliance Programs

SHAREHOLDER

• Actively assist in developing and overseeing implementation of business line policies and procedures
• Act as a subject matter expert to develop and enhance methodologies for analyzing risk exposures of covered TD businesses
• Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite
• Stay up to date on current on emerging issues, trends, and evolving regulatory requirements in the AML/ATF/ Sanctions/ABAC industry and assesses potential impacts.
• Coordinate with otherAML/ATF/Sanctions/ABACpartners and business compliance partners to ensure consistency in the application ofAML/ATF/Sanctions/ABACprograms and standards across the enterprise.
• Protect the interests of the organization – identify and manage risks, and ensure the prompt analysis and escalation of non-standard, high-risk issues, monitoring to thorough resolution.
• Acquire and apply expertise in theAML/ATF/Sanctions/ABACdisciplines, providing basic guidance and direction to business and other business oversight partners.
• Work with internal and external business partners (e.g., Internal Audit, external consultants) to respond to regulatory requests, findings, audits and/or examinations.
• Provide feedback and effective challenge on business line policies and procedures and make recommendations for enhancements based on changes to regulatory requirements or business processes.
• Consistently exercise discretion in managing correspondence, information, and all matters of confidentiality, escalating issues where appropriate.

EMPLOYEE / TEAM

• Contribute to the success of the TDS FCRM Business Oversight team by promoting a positive and inclusive work environment.
• Foster strong relationships with stakeholders across lines of business and support functions, providing high-quality service and timely execution of responsibilities within established SLAs.
• Demonstrate eagerness to learn and grow within the Business Oversight function by participating in professional development and training opportunities.
• Contribute to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices.
• Act as a brand ambassador for TDS FCRM Business Oversight and the bank, both internally and/or externally

BREADTH & DEPTH

• Maintain knowledge/expertise on a broad range of subject areas related to the job function and industry standards. This includesAML/ATF/Sanctions/ABACand knowledge in TD Securities product and service offerings
• Strong knowledge of Canadian AML/ATF regulations and global financial crime compliance frameworks (e.g., FATF)
• Provide advice and guidance for moderately complex projects with continued support from stakeholders and management and act as a point of contact for non-routine information.
• Identify and lead problem resolution for project/program complex requirements related issues at all levels
• Recommend and implement solutions within own area of responsibility and actively seek out ways to improve collaboration with other work areas as needed.
• Generally reports to a Senior Manager

EXPERIENCE & EDUCATION

• Advanced degree, professional accreditation, and/or 8+ years relevant industry experience
• Knowledge of global markets, securities and capital market products is required.

• Understanding of TD Securities products and services offered are an asset, such as Prime Brokerage, Global Markets and Corporate Investment Banking

• Undergraduate Degree
• CAMS designation considered an asset.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

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.

Sans Objet