Avp, Aml, Enhanced Due Diligence and Specialized

3 weeks ago

Toronto, Canada TD Bank Full time

414554BR

Anti-Money Laundering / Compliance & Regulatory Relations

Toronto, ON

July 24, 2023

Hours

37.5

Workplace Model

Hybrid

Pay Details

Job Details

The AVP of Canada Enhanced Due Diligence & Specialized Investigations (EDD&SI) provides strategic direction, leadership, and oversight to the Canada EDD&SI, and is responsible for the implementation and execution of processes related to: 1) High risk customer rating/ determination. 2) Politically Exposed Persons (PEPs) identification and classification. 3) Enhanced due diligence on potential high-risk customers, including PEPs. 4) Initial and periodic reviews of high-risk customers, including PEPs. 5) Special & Subpoena (314a and 314b) requests and investigations. 6) Other investigative/assessment processes that may be assigned to the Canada EDD&SI function from time to time.
** Depth & Scope**:

- Provides people management leadership by hiring the best talent, setting goals, developing: staff, managing employee performance and compensation decisions, promoting teamwork, and handling any/all disciplinary actions, as required
- Oversees the day-to-day activities and personnel within the Canada EDD&SI teams in various locations
- Develops, maintains, and reviews the Canada EDD&SI’s policies, programs, and procedures to ensure compliance with applicable legal, regulatory, and internal requirements
- Ensures that all EDD&SI investigations and operations work is completed in a timely and efficient manner, while maintaining the highest standards for regulatory and compliance requirements
- Oversees the review and approval of EDD&SI cases that resulted in or from specific money laundering and/or terrorist financing concerns
- Ensures that EDD&SI reports are clear, thorough, and logically organized summarizing all pertinent intelligence analysis
- Responsible for escalating and reporting suspicious activity pursuant to regulatory obligations
- Ensures that reports and regulatory submissions are written appropriately and maintains the highest standards for regulatory and compliance reporting requirements
- Acts as the center of expertise in the Canada for the AML regulatory requirements related to client risk rating/determination and PEP identification and classification, enhanced due diligence, transaction monitoring and regulatory reporting obligations
- Interacts with the other senior members of Global AML concerning EDD&SI issues, and provides leadership and direction in the development of enterprise and Canada strategy, policies, and projects
- Communicates with stakeholders with other areas in the Bank regarding due diligence and other requests for information
- Liaises with internal audit and Enterprise Testing during reviews of EDD&SI functions
- Reviews internal audit, Enterprise testing, and regulatory examination results, and takes corrective action as necessary
- Serves as a TD’s representative on Canada EDD&SI and other AML/ATF matters before Canada regulators
- Maintains in-depth knowledge of Canada AML regulations, particularly those relating to, KYC, customer risk rating, PEP determination, enhanced due diligence, and AML regulatory reporting
- Monitors AML industry developments, including red flags and best practices, and maintains advanced knowledge of new and amended laws and regulations impacting the EDD&SI, and ensures processes are in place to keep the Canada EDD&SI team updated on such developments
- Successfully completes all required online and any applicable specialized training and ensures staff completes all required online and applicable specialized training
- Contributes to a positive, ethical, and respectful working environment and communicates openly with others; Models company culture both, internally and externally

Job Requirements

**Education & Experience**
- Bachelor’s Degree required
- 10+ years of dedicated AML experience with particular focus on KYC, enhanced due diligence, and investigations
- 7+ years’ experience in team managerial role
- Strong project management, analytical, problem resolution and consensus building skills
- Strong customer service orientation and a professional approach
- Ability to interact with all levels within the organization
- Proven excellence in communication skills, both written and verbal and work closely with internal partners on communication strategies
- Excellent planning and organizational skills
- Ability to align Canada EDD&SI program goals and benefits with long-term goals of the organization
- Strong negotiation and influencing abilities
- Strategic thinker; able to think conceptually
- Have a high degree of attention to detail
- Proven ability to develop productive business relationships with internal and external partners
- Organized with proven ability to execute with excellence in a fast-paced environment
- Demonstrated ability to work independently and with mínimal supervision to identify issues and meet deadlines
- Certified Anti-Money Laundering Specialist (CAM

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