Associate Vice President, Aml, Governance and

3 weeks ago

Toronto, Canada TD Bank Full time

413005BR

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 & 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. As part of the general management of their function, AVPs are accountable to deliver against TD’s five shared commitments:

- 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

Reporting to the Deputy Global AML Officer, this AVP oversees AML regulatory programs and initiatives and the AML Governance and Control function.

The general accountabilities of this role include but are not limited to the following:
Key Regulatory Programs and Initiatives:

- Owns the delivery of the key regulatory programs and initiatives for Canada, Europe and Asia-Pacific
- Contributes to the GAML self-assessment to identify gaps and enhancement opportunities for GAML. Contributes to the development of recommended actions plans and target dates
- Partners with relevant SME’s and stakeholders to implement the recommended action plans within appropriate timelines
- Partners with the external consultant to execute on benchmarking current GAML practices to best practices of peer GSIBs
- Monitors progress for each workstream and contributes to the advancement of each initiative.
- Reviews and prepares for approval relevant policies, procedures, standards etc.
- Contributes to the strategy and long-term planning activities for GAML
- Fosters a continuous improvement mindset and proposes enhancements to the program informed by industry trends and best practices.
- Anticipates emerging obstacles and proactively removes barriers to successful achievement of the program
- Establishes and develops the team to deliver on regulatory programs. Provides people leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions
- Mobilizes the team against significant delivery requirements
- Prepares regular reporting for the Enterprise Executive Team, Enterprise Command Centre, Audit Committee, GSET and Enterprise Risk Management Committee
- Escalates issues as required

Governance and Control:

- Owns, develops and matures the GAML 1B program including all risk types applicable to GAML, issues management, audit management etc.
- Establishes and governance and oversight model for GAML Canada
- Nurtures a risk mindset within the team
- Develops, owns and executes the program for monitoring over the Canadian FIU
- Develops and owns the requirements for the oversight of AML / sanctions by first line governance & control functions contained within the Banks 1B Standards
- Participates in new risk and control initiatives deployed by TD (such as risk acceptance, heightened standards etc.)
- Represents GAML at various enterprise Governance and Control committees and liaises with the enterprise and control functions to align and support on TD’s strategy.
- Delivers ad hoc projects as assigned

**Requirements**:
**Other Qualifications/Skills/Experience**:

- Previous experience developing and executing on large scale change initiatives, new strategies and delivering superior results in both the short and long term
- Strong risk a

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