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Risk Management and Compliance Senior Manager
2 months ago
We are seeking a highly experienced Senior Manager to lead our Enhanced Due Diligence and Compliance team. As a key member of our Risk Management and Compliance department, you will be responsible for designing and implementing effective controls and processes to mitigate risk and ensure compliance with regulatory requirements.
Key Responsibilities- Lead and oversee the Enhanced Due Diligence and Compliance team, ensuring the effective design and implementation of controls and processes.
- Develop and maintain relationships with stakeholders, including people managers and investigators, to ensure the controls are designed and operating effectively.
- Design, implement, and manage end-to-end QC processes for the review of high-risk customers, PEPs, and HIOs, ensuring files are remediated and root causes are identified.
- Oversee a team of Group Managers and AML Financial Crime Risk Senior Investigators, promoting a culture of compliance and ongoing employee development and feedback.
- Ensure investigations, regulatory reporting, and initial and periodic reviews of high-risk customers, PEPs, and HIOs are risk-assessed, reviewed, and assigned on a risk-based prioritization approach.
- Manage control activities and mitigate risk, including recommending demarketing or exiting relationships and timely regulatory reporting of potential money laundering and terrorist financing activities.
- Undergraduate degree or equivalent work experience
- 10+ years of experience in risk management and compliance
About TD:
TD is a global leader in the financial services industry, representing the fifth-largest bank in North America by branch count. We offer a legendary customer experience to over 27 million households and businesses in Canada, the US, and around the world.
