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Manager, aml financial crime risk investigation

3 months ago

Old Toronto Ontario, CA TD Full time

Lieu de travail: Canada

Horaire: 37.5

Secteur d’activité: Lutte blanchiment d’argent

Détails de la rémunération:

Nous avons à cœur d’offrir une rémunération juste et équitable à tous nos collègues. En votre qualité de candidat ou de candidate, nous vous encourageons à avoir une conversation franche avec votre recruteur et à poser des questions sur la rémunération, notamment les particularités salariales de ce poste.

Description du poste:

The Manager, AML Financial Crime Risk Investigation (Triage & Enhanced Due Diligence, Politically Exposed Persons Program) reports to the Group Manager, AML Financial Crime Investigations (AML PEP Triage & Enhanced Due Diligence, Politically Exposed Persons Program) and the Associate Vice President (AVP), Head of Canada Enhanced Due Diligence and High-Risk Investigations. The Manager supports the Group Manager, and the AVP with the management and oversight of the High-Risk Customer Program in Canada while partnering with stakeholders, working with other people managers and investigators to ensure the controls are designed and operating effectively to mitigate the risk and compliance with regulatory requirements as well as the Bank's systems of internal controls.

Additionally, Manager oversees and manages the control activities of the Politically Exposed Persons Program as well as a team of AML Financial Crime Investigators who are responsible for conducting the Triage and EDD of various customers who have been deemed high risk, mitigation of risk such as recommendation to demarket/exit relationships, timely and/or without delay regulatory reporting of potential money laundering and terrorist financing activities.

RESPONSABILITÉS:

  1. CUSTOMER:
  2. Provide support to the Group Manager and the AVP with the oversight and management of the Politically Exposed Persons Program.
  3. Provide guidance, direction, oversee and lead a team of AML Financial Crime Investigators who conduct EDD of high risk customers as well as other AML Financial Crime Investigators tasked with conducting maker/checkers and/or quality controls while promoting a culture of compliance and an environment of ongoing employee development and feedback.
  4. Ensure investigations, initial and periodic reviews of high risk customers are risk assessed, reviewed, and assigned on a risk based prioritization approach and timely manner.
  5. Provide oversight of the investigations, initial and periodic reviews of high risk customers in accordance with the prescribed timelines including internal controls, procedures, and regulatory requirements.
  6. Ensure the regulatory reporting is conducted in a timely manner and/or without delay while adhering to regulatory requirements and internal controls.
  7. Ensures that other ongoing activities are performed according to established policies and procedures.
  8. Lead a team of AML Financial Crime Investigators who conduct the triage and EDD to achieve business / operational objectives, maintain effective day-to-day operations and deliver quality service and transaction processing consistent with business objectives.
  9. Review and assess incoming files and allocate to appropriate Investigators/Investigative Specialists.
  10. Conduct investigations in the capacity of a working lead where cases have been specifically assigned ensuring proper analysis and investigation standards are followed.
  11. Prepare applicable documents based on criminal and/or non-criminal proceedings.
  12. Collaborate with counterparts from other institutions and/or external organizations (e.g., public sector, government, law enforcement) to gather intelligence information where necessary.
  13. Ensure investigations are professionally conducted and completed in a timely manner.
  14. Identify and communicate procedural weaknesses to businesses and ensure processes for remediation are in place such as following up for corrective action where applicable.
  15. Maintain strong awareness of emerging trends and investigative techniques for own area of specialty.
  16. Represent the department on internal projects/committees for own specialized area as necessary.
  1. SHAREHOLDER:
  2. Contribute to the development of the business plan, operationalize the plan and deliver on assigned service/functionality.
  3. Work with key business leaders to develop business plan, ensuring the optimal use of resources and leverage TD’s operating model to maximize efficiency, effectiveness and scale.
  4. Monitor and communicate effectiveness of strategies, programs, and practices related to own area of accountability.
  5. Ensure programs, policies and practices continue to meet business needs, comply with internal and external requirements, and align with business priorities.
  6. Proactively identify key business opportunities, research and recommend enhancements/ modifications, develop strategies to achieve recommendations.
  7. Coordinate activities with partners across the organization, may include HR, Technology, Finance, Risk Mgmt.
  8. Ensure team operates in compliance with applicable internal and external requirements, and employees comply with Bank and industry codes of conduct.
  9. Ensure appropriate reporting and escalation of issues based on risk profile.
  10. Lead relationships with business lines / corporate and/or control functions to ensure alignment with enterprise and/or regulatory requirements.
  11. Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts.
  12. Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite.
  1. EMPLOYEE / TEAM:
  2. Responsible for management of the overall team providing both leadership and guidance.
  3. Set targets and objectives for the team, and deliver results.
  4. Develop a team of professionals in all aspects of related competencies and act as resource and mentor to others.
  5. Grow team expertise to align with business/enterprise demand and direction; assess team skills and capabilities and continually look for ways to provide and enhance the value delivered.
  6. 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.
  7. Lead the process of setting performance objectives for the team; track, monitor and effectively address and/or reward performance in a timely manner.
  8. Manage employees in compliance with all human resources policies, procedures and guidelines of conduct.
  9. 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.
  10. 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.
  11. Act as a brand ambassador for your business area/function and the bank, both internally and/or externally.
  1. BREADTH & DEPTH:
  2. Provides people management leadership by hiring the best talent, setting goals, developing employees, managing employee performance and compensation decisions, promoting teamwork, and handling any/all disciplinary actions, as required.
  3. Expert level professional role requiring in-depth knowledge / expertise in own domain / field of specialty and working knowledge of broader related areas.
  4. Integrates the broader organizational context into advice and solutions within own area.
  5. Understands the industry, competition and the factors that differentiate the organization.
  6. Applies best practices to implement process, product or service improvements.
  7. Acts as a subject matter expert within their own area of specialty or a resource for others.
  8. Leads projects of moderately to complex risk and resource requirements; may lead end-to-end processes or functional programs.
  9. Contributes to setting standards within area of expertise.
  10. Solves complex problems requiring analysis of multiple variables, including consultation with multiple stakeholders.
  11. Uses advanced methods to contribute to new solutions and recommend standards against which others will operate.
  12. Impacts a range of functional programs and operations across own and related teams.
  13. Interprets guidelines, standards, policies and results of analysis to inform decision making at senior levels.
  14. Builds stakeholder alignment in leading projects and activities; may provide process and subject matter advice at senior levels.

EXPERIENCE AND / OR EDUCATION:

  1. Undergraduate degree or relevant professional certifications, designations, or equivalent required.
  2. 5+ years relevant experience.
  3. Strong knowledge, experience of Canadian AML legislation, requirements and guidance including but not restricted to Financial Transactions Reports Analysis Centre of Canada (FINTRAC), Office of the Superintendent of Financial Institutions (OSFI), Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA) and Ministerial Directives.
  4. Strong knowledge and experience with KYC requirements, EDD and Politically Exposed Persons Program and Regulatory requirements.
  5. Strong knowledge of current and emerging trends, risk and typologies of money laundering, terrorist financing and sanctions.
  6. Excellent oral and written communication skills.
  7. Coaching and counseling skills.
  8. Ability to delegate work to others, work well independently and ability to collaborate and build positive relationships.
  9. Strong decision-making, critical thinking, follow through ability, analytics skills.
  10. Ability to respond to shifting priorities quickly and managing competing priorities.
  11. Skill in leading budgets and resource allocation.
  12. Skill in using computer applications including MS Office.
  13. Ability to exercise sound judgment in making decisions.
  14. Ability to handle confidential information with discretion.
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