Director, Enterprise Risk Management, KYC, Monitoring and Reporting

7 days ago

Toronto, Ontario, Canada The Toronto-Dominion Bank (Canada) Full time

About The Job


We are seeking a Director, Enterprise Risk Management, KYC, Monitoring and Reporting to lead the workstreams to enhance TD's KYC program and its monitoring and reporting processes. This role oversees the development of solutions for these workstreams to ensure they are built in alignment with regulatory requirements and best practices.


Key Responsibilities:



  • Provide strategic direction to support delivery of sustainable enhancements to TD's Know Your Customer (KYC) Programs.
  • Lead the implementation of a consequence management framework for non-compliance with KYC requirements.
  • Provide advice and assist the business with KYC self-service solutions.
  • Drive consistent KYC monitoring processes.
  • Lead the establishment of feedback loops between investigations teams and the lines of business.
  • Identify linkages between KYC requirements and other components of the financial crimes risk management framework to enable the design of an interconnected and efficient strengthened FCRM Program.
  • Keep current on emerging issues, trends, and evolving regulatory requirements and assess potential impacts to the KYC workstream.
  • Responsible for end-to-end leadership delivery of the Transaction Monitoring & Reporting workstream.
  • Lead the advancement of the bank's transaction monitoring capabilities including Governance, standards, coverage assessment methodology and procedures.
  • Enhance the Unusual Transaction Reporting Program including processes, controls, reporting, training etc.
  • Drive the enhancement of the UTR strategic tool, which involves coordination among the various Line of Business stakeholders, other Financial Crime partners, and Financial Crime Risk Management Operations.
  • Enhance the monitoring program for cash-intensive customers and monetary instruments.

Accountabilities:



  • Serve as the focal point for all interactions/escalations with internal and external stakeholders on the KYC and Monitoring and Reporting workstreams.
  • Deliver frequent written and verbal reporting to senior management and the Board on progress against the KYC, Monitoring and Reporting workstream deliverables.
  • Proactively identify key business opportunities, research, and recommends enhancements/modifications, develops strategies to achieve recommendations in the workstreams and works closely with colleagues and partners to execute and implement.
  • Review deliverables/solutions for technical compliance and practicality.
  • Provide leadership and guidance to the project team and other stakeholders to ensure appropriate record keeping and artifacts are maintained/stored for clear transparency and auditability.
  • Anticipates emerging obstacles and proactively removes barriers to successful achievement of the program.
  • Contributes to the strategy and long-term planning activities for Financial Crime Risk Management.
  • Fosters a continuous improvement mindset and proposes enhancements to the program informed by industry trends and best practices.
  • Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite.

Requirements:



  • Deep expertise in Anti-Money Laundering, Anti-Terrorist Financing, and Sanctions.
  • Strong risk acumen – challenges the status quo; has a sense of where things could go wrong and proactively manages to avoid/minimize risks.
  • Proven ability in leveraging deep risk expertise to align teams to a central vision, while also listening and engaging others to provide input in the shaping of that vision.
  • Skillful communication (written and verbal) and ability to write senior executive-level communications and reports.
  • Ability to work in ambiguity and decomplexify issues; strong work ethic and ability to execute with speed.
  • Recruits top talent; manages and motivates a diverse group of professionals.
  • Strong people leader who possesses the ability to effectively work in teams across the bank with multiple stakeholders and to influence and align others.
  • Strong collaborator who engages colleagues, business partners, and external stakeholders.
  • Demonstrates negotiation and partnership skills to balance stakeholder input but remains objective to reach the right outcome – ability to stay resilient under pressure.
  • Robust organizational skills with the ability to work in a fast-paced environment and manage multiple deadlines and priorities.
  • Strong knowledge of the AML regulatory environment in Canada is a requirement.

Compensation Package:


The estimated salary range for this role is CAD $120,000 - CAD $160,000 per year, plus additional benefits such as health and wellness programs, retirement savings plans, paid time off, and career development opportunities.

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