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TD Securities · 1 day ago

Senior Manager, Financial Crime Risk Oversight - Emerging Risk

New York, NY

Full-time

Onsite

Senior Level, Lead/Staff

$115K/yr - $186K/yr

10+ years exp

TD Securities is one of the world's leading global financial institutions and is the fifth largest bank in North America. They are seeking a Senior Manager for Financial Crime Risk Oversight to lead oversight activities and compliance programs related to AML, ATF, Sanctions, and ABAC across TD businesses, while managing a high-performance team and providing strategic direction on compliance issues.

BankingFinanceFinancial Services

Responsibilities

Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance, supporting compensation decisions, promoting teamwork, and handling disciplinary actions, as required

Supports the development of a high-performance business oversight team as a member of the Leadership team

Oversees and leads a large and/or highly complex and diverse AML/ATF/Sanctions/ABAC function for an area of significant risk, complexity or scope while growing talent, developing skills and capabilities to achieve career goals, support project/initiative success and achieve business results

Provides oversight to programs for an assigned portfolio of complex and dynamic TD businesses and legal entities

Maintains highly specialized expertise and in-depth knowledge to manage AML/ATF/Sanctions/ABAC programs for multiple, significant complex businesses, functional areas and/or global business lines

Provides coaching, mentorship and guidance to practitioners, business, executives within area of expertise

Manages and oversees the overall discipline and strategy for the AML/ATF/Sanctions/ABAC area while aligning to the enterprise best practices

Position typically deals with senior/executive management

Key contact for business management, regulators, and external/internal auditors, dealing with a broad range of issues including non-routine information

Focuses on longer-range planning for functional area (e.g., 12 months or greater)

May manage and prioritize multiple projects at a given time

Acts as highest point of team escalation for resolution and provides direction to resolve issues or escalate

Leads and manages a high performing team on delivery of AML/ATF/Sanctions/ABAC compliance programs and culture

Provides guidance, leadership, coaching and development to direct reports to ensure operational results and professional/personal development objectives are achieved

Provides strategic direction on a broad and diverse range of complex AML/ATF/ Sanctions/ABAC program activities

Proactively advises covered TD businesses of new and changed AML/ATF/Sanctions/ABAC regulatory and/or policy requirements and articulates the impact to their processes and controls

Contributes to the development and implementation of AML/ATF/Sanctions/ABAC Compliance programs

Works with senior business unit management/partners to develop proactive strategies, tactics, policies, and programs to effectively manage regulatory/compliance issues

Provides insight, guidance, and recommendations and acts as a specialized resource to other departments based on subject matter expertise including, but not limited to, customer identification and due diligence, enhanced due diligence, policy, governance, training and/or compliance assurance and testing

Manages and provides oversight on day-to-day operations of the department and participates in enterprise wide or Customer focused special projects on behalf of FCRM

Delivers subject matter expertise and AML/ATF/Sanctions/ABAC guidance to business management, including developing and maintaining management reporting and analysis

Coordinates/Manages the team’s participation in / responses to regulatory examinations and internal/external audits, reviewing, packaging, and tracking and providing information for department executive

Develops and oversees the implementation of business line policies and procedures

Works closely with leaders to develop and operationalize the business plan and deliver on AML/ATL/Sanctions/ABAC programs across the enterprise

Plans and executes on strategic activities, reviews, and communicates results, and adjusts tactics accordingly

Proactively identifies key business opportunities, research, and recommends enhancements/modifications, develops strategies to achieve recommendations and works closely with team to execute and implement

Understands TDBG issues/parameters and guides others to protect the reputation and interest of TDBG by adhering to operating standards and processes related to AML/ATF/ Sanctions/ABAC

Provides oversight on risk assessment processes as required

Protects the interests of the organization – identifies and manages risks, and escalates non-standard, high-risk transactions/activities as necessary

Keeps current on emerging issues, trends, and evolving regulatory requirements and assesses potential impacts

Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite

Liaises with regulatory and law enforcement agencies on AML/ATF/Sanctions/ABAC examinations and related inquiries

Ensures employees are building and enhancing their knowledge and expertise; and employees assume responsibility in minimizing operational and regulatory risk by complying with Bank policy and Code of Conduct

Responsible for management of the overall team providing both leadership and guidance

Contributes to the development of business line and/or enterprise functional strategic priorities within their operational area or field of specialty

Leads a high performing team; provides on-going feedback and performance reviews, coaches and develops employees and ensures performance management activities are undertaken and completed for all employees

Leads the process of setting performance objectives for the team; tracks, monitors and effectively addresses and/or rewards performance in a timely manner

Manages employees in compliance with all human resources policies, procedures, and guidelines of conduct

Shares knowledge, information, skills, and subject matter expertise among the team and ensures the timely communication of issues and encourages good working relationships with other functions and teams

Supports an environment where team freely escalates business challenges; facilitates change through positive reinforcement of milestones and successes

Recruits for all hires to ensure a highly diverse, qualified workforce to achieve business objectives

Establishes and fosters a cohesive team; promotes a fair and equitable environment that supports a diverse workforce and encourages the team to achieve common goals and objectives

Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally