Associate Vice President, Fcrm, Fiu Operations

1 month ago

Toronto, Canada TD Bank Full time

**Work Location**:
Toronto, Ontario, Canada

**Hours**:
37.5

**Line of Business**:
Financial Crime Risk Management

**Pay Details**:
$145,000 - $175,000 CAD

The TD Global Financial Crime Risk Management (FCRM) department is accountable for establishing TD's Global Anti-Money Laundering (AML), Anti-Terrorist Financing (ATF), Economic Sanctions and Anti-Bribery/Anti-Corruption (ABAC) (collectively, Financial Crime Risk Management) program to ensure that all TD businesses adhere with AML/ATF/Sanctions/ABAC 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/ATF/Sanctions/ABAC 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.

**Associate Vice President Profile**:
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.

**Job Summary**

The AVP of Canada Enhanced Due Diligence (EDD) provides strategic direction, leadership, and oversight to the Canada EDD program and PEP program, 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, and 4) Initial and periodic reviews of high-risk customers, including PEPs, 5) transaction reviews for high risk customers and PEPs for regulatory reporting, and 6) recommendations regarding demarketing.

**Individual Accountabilities**:

- Oversees the day-to-day activities and personnel within the Canadian Enhanced Due Diligence (EDD) and PEP teams
- Develops, maintains and reviews the EDD and PEP programs and procedures to ensure compliance with applicable legal, regulatory and internal requirements
- Ensures that all EDD and PEP 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 and PEP cases that resulted in or from specific money laundering and/or terrorist financing or sanctions concerns
- Ensures that EDD and PEPs 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 Canada for the AML regulatory requirements related to enhanced due diligence, transaction monitoring and regulatory reporting obligations
- Interacts with the other senior members of Global AML concerning EDD and PEP issues, and provides leadership and direction in the development of Canadian EDD and PEP strategy, procedures and projects
- Communicates with stakeholders with other areas in the Bank regarding due diligence and other requests for information
- Liaises with internal audit and AML testing during reviews of EDD and PEP functions
- Reviews internal audit, AML testing, and regulatory examination results, and takes corrective action as necessary
- Serves as a TD's representative on Canadian EDD and PEP matters before regulators
- Maintains in-depth knowledge of Canadian AML regulations, particularly those relating to, KYC, customer risk rating, enhanced due diligence, PEP determination and AML regulatory reporting
- Monito

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