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Associate Vice President, Aml, Risk Assessment
3 months ago
Anti-Money Laundering / Compliance & Regulatory Relations
Toronto, ON
June 29, 2023
Company Overview
Department Overview
The TD Global AML department (GAML) is accountable for establishing TD's Global Anti-Money Laundering, Anti-Terrorist Financing, Economic Sanctions and Anti-Bribery/Anti-Corruption (collectively, AML) program to ensure that all TD businesses adhere with AML regulatory expectations in all jurisdictions where TD operates.
This includes setting consistent standards across business segments that may be further tailored to specific business or jurisdictional requirements; conducting periodic enterprise-wide AML risk assessments; maintaining the Global AML Policy (including Know Your Customer and Enhanced Due Diligence, record keeping and retention requirements); currency transaction and suspicious transaction monitoring and reporting; screening TD customers against regulatory watch lists; a hierarchy of designated AML officer functions; enterprise-wide and specialized AML training of employees; and independent AML testing.
Job Description:
Associate Vice Presidents (AVPs) at TD Bank Group contribute significantly to the overall reputation of TD.
As executives, AVPs set the ethical, organizational and performance standards for the teams they lead and exemplify how an effective performance and development culture functions day to day.
An AVP is expected to guide his/her team, collaborating as appropriate with TD partners, to deliver superior results in both the short and long term.
- AVPs promote adherence to TDBG's vision and purpose to be the better bank, and enrich the lives of customers, communities and colleagues.
- Think like a customer; provide legendary experiences and trusted advice
- Act like an owner; lead with integrity to drive business results and contribute to communities
- Execute with speed and impact; only take risks we can understand and manage
- Innovate with purpose; simplify the way we work
- Develop our colleagues; embrace diversity and respect one another
The general accountabilities of this role include but are not limited to the following:
- Leads GAML's Centre of Expertise for Risk Assessment Methodologies including the enterprise-wide AML/Sanctions/ABAC risk methodology, country risk assessment, customer risk rating methodologies, control effectiveness methodology and risk profile methodology.
- Evolves the AML/Sanctions/ABAC risk assessment methodology to meet regulatory requirements/expectations and GSIB peer practices. Establishes processes to ensure that the methodology keeps pace with evolving industry practices.
- Provides guidance and support to advisory teams in the execution of the revised methodology
- Evolves the country risk rating methodology
- Owns the product risk rating methodology and ensures the methodology keeps pace with industry best practices
- Implements and owns the technology for the deployment annual bank wide risk assessments
- Delivers the AML/Sanctions inherent risk rating on a quarterly basis
- Owns the customer risk rating methodology for wholesale and retail customers. Updates the methodology each year and engages in benchmarking to ensure the methodologies remain appropriate and keeps pace with existing practices from peer GSIBs.
- Evolves GAML's control effectiveness methodology to meet regulatory expectations and peer GSIB practices. Establishes processes to ensure the methodology keeps pace with industry developments.
- Establishes a methodology for the determination of risk profile for GAML and each bank segment
- Produces the relevant reporting for the board and each segment or business unit. Reporting includes annual board report for the risk assessment results, quarterly reporting on control effectiveness and risk profile, quarterly inherent risk rating.
- Partners with model risk for validation of all in scope models
- Other ad hoc projects as assigned
Requirements:
Other Qualifications/Skills/Experience:
- Deep experience in developing and enhancing risk assessment methodologies and processes
- Strong risk acumen challenges the status quo; has a sense of where things could go wrong and proactively manages to avoid / minimize the risks
- Proven ability in leveraging deep risk expertise to align teams to a central vision, while also listening and engaging others to provide input in the shaping of that vision
- Skillful communication (written and verbal) and ability to write Board level communications and reports
- Ability to work in ambiguity and decomplexify issues; Strong work ethic and ability to execute with speed
- Recruits top talent; manages and motivates a diverse group of professionals
- Strong people leader who possesses the ability to effectively
