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TD · 3 weeks ago

Financial Crime Risk Oversight Specialist

New York, NY

Full-time

Onsite

Senior Level

$128K/yr - $165K/yr

7+ years exp

TD is committed to providing fair and equitable compensation opportunities to all colleagues. The Financial Crime Risk Oversight Specialist supports the firm’s financial crime risk management program, providing guidance on regulatory compliance and risk management while advising on financial crime laws and regulations.

BankingFinanceFinancial ServicesWealth Management

Responsibilities

Demonstrate governance, control and risk management behaviors aligned with TD policies and practices

Provide advisory and oversight support to the TDS US business

Provide advice to the business on requirements, including supporting remediation and enhancement activities

Provide quality evaluations and enhancements of exception reports when needed

Participate in the annual enterprise-wide AML/BSA/Sanctions/ABAC risk assessment process

Conduct targeted AML/OFAC training, as appropriate

Conduct periodic testing of AML functions as mandated by the Periodic AML Testing Program

Participate in special projects, including assisting with adherence to enterprise-wide initiatives including global policies and governance

Assist with regulatory and audit requests

Provide backup to general AML compliance functions such as surveillance reviews, section 312 reviews and TD affiliates due diligence reviews

Complete all tasks within required timeframes

Qualification

AML complianceFinancial crime risk managementInvestment banking experienceRegulatory complianceMicrosoft Office proficiencyProject managementVerbal communicationWritten communicationStrategic thinkingDetail-oriented

Required

Bachelor's degree required (exceptional candidates demonstrating an equivalent combination of relevant education and experience will be considered)

7 to 10 years of knowledge and experience in AML compliance, preferably including investment banking / broker-dealer experience at a large financial institution

Excellent verbal and written communicator with detailed oriented nature

Must have strong subject matter knowledge of financial crime risks and controls relating to investment banking / capital markets, with a preference for candidates also displaying this knowledge through transformation or other change initiatives

Ability to identify and evaluate potential risks to the Firm and escalate accordingly

Strong project management and strategic thinking skills

Proficiency with Microsoft Word, Excel and PowerPoint

Undergraduate degree or equivalent work experience

7+ years experience