Finance and Risk Manager

2 months ago

Old Toronto, Canada TD Full time
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.

Manage/lead a team of specialized professionals in the analysis and/or the investigation process for a specific area and assigns and monitors caseloads to ensure potential regulatory risks and losses to the bank are minimized.

The High Risk Customer Program consist of dedicated and specialized teams with AML subject matter experts with accountabilities to conduct the enhance due diligence of high risk customers. Within the High Risk Customer, Politically Exposed Persons (PEPs) and Head of International Organization (HIO) Programs, resides the Quality Control Function which conducts review of all customers who were subjected to enhanced due diligence.

  • The Group Manager, AML Financial Crime Risk Investigation ((Enhanced Due Diligence, High Risk Customer, PEP, HIO Programs (QC) reports to the Senior Manager, AML Financial Crime Investigations (AML Enhanced Due Diligence, High Risk Customer, PEP, HIO Programs) (QC) and the Associate Vice President (AVP), Head of Canada Enhanced Due Diligence and High Risk Investigations.
  • The Group Manager, AML Financial Crime Risk Investigation (Enhanced Due Diligence, High Risk Customer, PEP, HIO Programs (QC) oversees a team of AML Financial Crime Risk Senior Investigators (Quality Control) who conducts the review of completed enhance due diligence customer files to ensure the high risk customers, PEPs, and HIOs were subjected to the required enhance due diligence as per the Bank's AML/ATF policies, standards, risk appetite, procedures, and Canadian legislations.
  • The Group Manager supports the Senior Manager, and the AVP with the management and oversight of the High Risk Customer, PEP and HIOs QC 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, Group Manager oversees and manages the control activities of the High Risk Customer, PEP and HIOs QC Programs as well as 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.
    • Provide support to the Senior Manager and the AVP with the oversight and management of the High Risk Customer, PEP and HIOs Programs and the QC Function to ensure high risk customers files were subjected the required enhanced due diligence as per the Bank's AML/ATF policies, standards, risk appetite, procedures, and Canadian legislations.
    • Design, implement and manage end to end QC processes for the review of the high risk customers, PEPs and HIOs who were subjected to EDD.
    • Provide guidance, direction, oversee and lead a team of AML Financial Crime Risk Senior Investigators (QC) while promoting a culture of compliance and an environment of ongoing employee development and feedback.
    • Conduct QC to ensure investigations, initial and periodic reviews of high risk customers, PEPs and HIOs are risk assessed, reviewed, and assigned on a risk based prioritization approach and timely manner.
    • Conduct QC of investigations, initial and periodic reviews of high risk customers, PEPs and HIOs in accordance with the prescribed timelines including internal controls, procedures, and regulatory requirements.
    • Conduct QC to ensure the regulatory reporting is conducted in a timely manner and/or without delay while adhering to regulatory requirements and internal controls.
    • Ensure deficiencies identified through the QC processes are remediated and there are feedback to AML Financial Crime Risk Investigators including ongoing training.
    • Ensures that other ongoing activities are performed according to established policies and procedures.
    • Lead a team of AML Financial Crime Risk Senior Investigators (Quality Control) who conduct quality control review of completed EDD files to achieve business / operational objectives, maintain effective day-to-day operations and deliver quality service and transaction processing consistent with business objectives.
    • Conduct investigations in the capacity of a working lead where cases have been specifically assigned ensuring proper analysis and investigation standards are followed.

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