Senior Manager, Specialized Financial Crimes Risk Management

3 weeks ago

Toronto, Ontario, Canada TD Full time
Job Title: Senior Manager, Specialized Financial Crimes Risk Management

TD Bank Group is seeking a highly skilled and experienced Senior Manager, Specialized Financial Crimes Risk Management to join our team. As a key member of our Financial Crimes Risk Management team, you will be responsible for providing oversight and support for the Money Laundering (ML), Terrorist Financing (TF), Sanctions, and Anti-Bribery/Anti-Corruption (ABAC) risk assessment across TD Bank Group.

Key Responsibilities:
  • Provide marked support to the Associate Vice President, Financial Crimes Risk Management, Risk Assessment, and lead, develop, and oversee the work of a dynamic team of professionals who oversee and execute the risk assessment methodologies across TD Bank Group.
  • Work autonomously as the leader of the team and assist with development and approval of procedures in coordination with leadership team and colleagues; and promote and monitor staff adherence to approved internal AML policies, procedures, standards, and guidelines, etc.
  • Interact routinely with and manage relationships with FCRM teams/areas, and RA management and staff, in the evaluation, development, deployment, and support of the ML-TF, Sanctions, and ABAC RA processes, including acting as the ad-hoc problem resolution contact for these stakeholders.
  • Represent Enterprise RA on projects/initiatives, as required, in the context of the RA methodology/process, as assigned.
  • Support review and feedback of the enterprise-wide risk assessment methodologies, as assigned.
  • Provide standardized requirements and format to the Advisory teams for business-generated data and support the collection and distribution of centralized data. Support data strategies to produce results based on consistent, reproducible data with clear data lineage.
  • Support quality assurance and control activities within the Enterprise RA Team as well as quality assurance and control exercises completed for the RA cycle. This can include running analytic-based quality assurance and control checks on submitted data.
  • Support the Enterprise RA Team in reporting responsibilities, including development of reports, data extraction, transformation, and analysis, as well as maintain shared repositories of supporting documentation.
  • Support the Associate Vice President, Financial Crimes Risk Management, RA, to ensure the enterprise-wide ML-TF, Sanctions, and ABAC RA program is effective, consistently deployed and maintained, and understand risk identification, analysis, and mitigation according to the regulatory requirements and best business practices.
  • Support the Enterprise RA Team in regulatory examinations and external/internal audits with respect to requests for information, reviewing, packaging, submitting information to the requesting party.
  • Work with the Enterprise RA Team to refine processes and active involvement in the recalibration process.
  • Monitor ML-TF, Sanctions, and ABAC industry developments and maintain knowledge of new and amended ML-TF, Sanctions, and ABAC laws and regulations pertaining to RA.
  • Escalate issues/challenges by the Enterprise RA Team, FCRM Teams, Global Sanctions & ABAC Centre of Excellence, and respective staff and report them in a timely manner to management.
  • Contribute to a positive, ethical, respectful, inclusive working environment and communicate openly with others.
  • Participate in/support enterprise-wide or FCRM-focused projects, as needed.
  • Support the review and update of the methodologies - maintain repository of feedback and prepare for executive review.
  • Draft and facilitate stakeholder communications, reporting, training, and presentations to stakeholders, as needed.
  • Support integration of new acquisitions into the FCRM RA process.
  • Support Associate Vice President, Financial Crimes Risk Management, RA, in growing the team's expertise to align with enterprise demand and direction by sharing knowledge, information, skills, and subject matter expertise.
  • Support Associate Vice President, Financial Crimes Risk Management, RA, in fostering a cohesive team and the promotion of a positive work environment.
  • Serve as primary escalation point for significant matters/exceptions. Identify and implement risk mitigation strategies for findings from risk assessment, audit findings, regulatory exams, potential violations of law, etc.
  • Support an environment where team freely escalates business challenges; facilitate change through positive reinforcement of milestones and successes. Proactively identify matters that require additional attention, a change in status, or further escalation or review, and liaise with the appropriate partner to rectify same.
  • Act as a brand ambassador for RA, FCRM, and the bank, both internally and/or externally, as needed.
Requirements:
  • Undergraduate degree or progressive work experience (10+ years relevant experience).
  • ACAMS certification is considered an asset.
  • Work experience in a second-line compliance/risk management function is considered an asset.
  • Expert understanding of ML-TF, Sanctions, and ABAC RA best practices is considered an asset.
  • Broad understanding of global best practices and global AML-TF, Sanctions, and ABAC regimes and emerging trends.
  • Strong proficiency with MS Office (e.g., Excel, PowerPoint, Teams, and Word).
  • Strong analytical and organizational skills; ability to organize and bring to order data and information, drawing conclusions and making appropriate recommendations.
  • Strong communication skills with the ability to synthesize information, distill and communicate complex information (written and oral), adapting to the needs of the audience (including executives and stakeholders) draft reports, procedures, presentations, and business correspondence, as well as present information and respond to questions/requests for information from peers, senior management, and business groups within and across FCRM.
  • Strong interpersonal skills and ability to work in a cross-functional team environment to assist with the interaction of RA stakeholders for the execution of the TDBG's overall ML-TF, Sanctions, and ABAC RA program.
  • Flexible with the ability to adapt to change and take initiative to complete job requirements while balancing competing workload requirements.
  • Strong ability to work independently, apply critical thinking, and to exercise sound judgment in making decisions and escalating, as appropriate.
  • Ability to work in a fast-paced, deadline-focused environment and manage deadlines while multi-tasking between different projects.
  • Ability to challenge and influence others' actions and decisions without express authority.
  • Ability to handle confidential information with discretion.
  • Excellent attention to detail.
  • Ability to identify, recommend, and implement process improvements and/or automation opportunities to enhance the productivity and operational efficiency of the team.
  • Organized, self-starter with a high degree of personal initiative and integrity.
  • Well-developed project management, interpersonal, and problem-solving skills with a proven ability to lead, develop, coordinate, and implement projects plans and activities to completion.

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