Senior Manager, Regulatory Compliance

1 month ago

Toronto, Ontario, Canada TD Full time
Responsibilities
  • Oversee the team and lead 2nd-line oversight activities and monitoring of the AML/ATF/Sanctions/ABAC compliance programs for covered TD businesses and legal entities.
  • Lead and manage a high performing team on delivery of AML/ATF, Sanctions, ABAC compliance programs and culture.
  • Provide strategic direction on a broad and diverse range of complex AML/ATF/ Sanctions/ABAC program activities.
  • Proactively advise covered TDS businesses and Corporate Segments of new and changed AML/ATF/ Sanctions/ABAC regulatory and/or policy requirements and articulate the impact to their processes and controls.
  • Contribute to the development and implementation of AML/ATF/Sanctions/ABAC Compliance programs.
  • Work with senior business unit management / partners to develop proactive strategies, tactics, policies, and programs to effectively manage regulatory / compliance issues.
  • Manage the development and implementation robust metrics to assess the effectiveness and efficiency of the AML/ATF/Sanctions/ABAC programs, ensuring compliance with regulatory requirements and industry best practices.
  • Prepare comprehensive, data-driven reports on the performance and effectiveness of the AML/ATF/Sanctions/ABAC programs to be shared with senior management and the Board of Directors.
  • Provide insight, guidance, and recommendations and act as a specialized resource to other departments based on subject matter expertise including, but not limited to, customer identification and due diligence, enhanced due diligence, policy, governance, training and/or compliance assurance and testing.
  • Manage and provide oversight on day-to-day operations of the department and participate in enterprise wide or Customer focused special projects on behalf of FCRM.
  • Deliver subject matter expertise and AML/ATF/Sanctions/ABAC guidance to business management, including developing and maintaining management reporting and analysis.
  • Co-ordinate/ Manage the team's participation in / responses to regulatory examinations and internal / external audits, reviewing, packaging, and tracking and providing information for department executive.
  • Develop and oversee the implementation of business line policies and procedures.
  • Work closely with leaders to develop and operationalize the business plan and deliver on AML/ATL/Sanctions/ABAC programs across the enterprise.
  • Provide oversight on risk assessment processes as required.
  • Protect the interests of the organization - identify and manage risks, and escalate non-standard, high-risk transactions / activities as necessary.
  • Keep current on emerging issues, trends, and evolving regulatory requirements and assess potential impacts.
  • Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite.
  • Act as a brand ambassador for your business area/function and the bank, both internally and/or externally.
  • Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance, supporting compensation decisions, promoting teamwork, and handling disciplinary actions, as required.
  • Support the development of a high-performance business oversight team as a member of the Leadership team.
  • Oversee and lead a large and/or highly complex and diverse AML/ATF/ Sanctions/ABAC function for an area of significant risk, complexity or scope while growing talent, developing skills and capabilities to achieve career goals, support project / initiative success and achieve business results.
  • Provide oversight to programs for an assigned portfolio of complex and dynamic TD businesses and legal entities.
  • Maintain highly specialized expertise and in-depth knowledge to manage AML/ATF/ Sanctions/ABAC programs for multiple, significant complex businesses, functional areas and/or global business lines.
  • Provide coaching, mentorship and guidance to practitioners, business, executives within area of expertise.
  • Manage and oversee the overall discipline and strategy for the AML/ATF/ Sanctions/ABAC area while aligning to the enterprise best practices.
  • Position typically deals with senior/executive management.
  • Key contact for business management, regulators, and external/internal auditors, dealing with a broad range of issues including non-routine information.
  • Focus on longer-range planning for functional area (e.g., May manage and prioritize multiple projects at a given time.
  • Act as highest point of team escalation for resolution and provides direction to resolve issues or escalate.
  • Generally reports to executive management.
Requirements
  • Undergraduate degree or equivalent work experience.
About TD

TD est la cinquième banque en Amérique du Nord de par son nombre de succursales. Chaque jour, nous offrons une expérience client légendaire à plus de 27 millions de ménages et d'entreprises au Canada, aux États-Unis et partout dans le monde. Nous sommes guidés par notre vision d'être une meilleure banque et par notre objectif d'enrichir la vie de nos clients, de nos collectivités et de nos collègues.

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