Manager of AML Financial Crime Risk Oversight

4 weeks ago

Old Toronto, Ontario, Canada TD Bank Full time

Work Location: Canada

Hours: 37.5

Line of Business: Financial Crime Risk Management

Compensation Details:

We are dedicated to ensuring fair and equitable compensation for all employees. We encourage candidates to engage in open discussions with our HR Team regarding compensation-related inquiries, including specifics for this position.

Position Overview:

The role involves overseeing a specialized team responsible for analyzing and investigating financial crime risks. The Group Manager is tasked with assigning and monitoring caseloads to mitigate potential regulatory risks and losses to the organization.

The High-Risk Customer Program is comprised of dedicated teams of AML experts responsible for conducting enhanced due diligence on high-risk clients. This includes the Quality Control Function, which reviews all clients subjected to enhanced due diligence.

Key Responsibilities:

  • Report directly to the Senior Manager of AML Financial Crime Investigations and the Associate Vice President overseeing Enhanced Due Diligence and High-Risk Investigations.
  • Supervise a team of Senior Investigators who review completed enhanced due diligence files to ensure compliance with AML policies and Canadian regulations.
  • Support senior management in overseeing the High-Risk Customer, PEP, and HIO Quality Control Program while collaborating with various stakeholders to ensure effective risk mitigation and compliance.
  • Manage control activities for the High-Risk Customer, PEP, and HIO Programs, including recommendations for relationship demarketing and timely regulatory reporting of suspicious activities.

Client Focus:

  • Assist senior management in overseeing the Quality Control Function to ensure high-risk customer files undergo the necessary enhanced due diligence.
  • Design and implement comprehensive QC processes for reviewing high-risk customers and PEPs.
  • Lead and mentor a team of Senior Investigators, fostering a culture of compliance and continuous development.
  • Conduct quality control reviews to ensure timely and accurate investigations of high-risk clients.
  • Ensure deficiencies identified through QC processes are addressed and provide ongoing training to investigators.

Stakeholder Engagement:

  • Develop strong relationships with key stakeholders, including Corporate Security and Legal departments.
  • Participate in relevant forums and working groups to ensure timely information sharing among stakeholders.
  • Contribute to business planning and operational execution to meet organizational objectives.
  • Monitor and communicate the effectiveness of strategies and programs related to financial crime risk management.

Team Leadership:

  • Provide leadership and guidance to the team, setting clear targets and objectives.
  • Develop team competencies and act as a mentor to enhance overall performance.
  • Promote a cohesive team environment that supports diversity and common goals.

Qualifications:

  • Undergraduate degree or relevant professional certifications required.
  • Minimum of 7 years of relevant experience in financial crime risk management.
  • Strong understanding of Canadian AML legislation and KYC requirements.
  • Excellent communication and analytical skills.
  • Proven ability to manage competing priorities and lead teams effectively.

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