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TD Securities · 2 days ago

Senior Manager, FCRM Testing

Jacksonville, FL

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 they are seeking a Senior Manager, FCRM Testing to oversee and lead multiple complex testing reviews for Financial Crime Risk Management. The role involves providing guidance, leadership, and coaching to achieve operational results while ensuring compliance with regulatory requirements.

BankingFinanceFinancial Services

Responsibilities

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

Oversees concurrent testing reviews across TDBG business segment areas, and accountable for the timely and quality execution of these reviews and typically work closely with Senior/Executive Management

Accountable for the effective identification of issues stemming from testing activities and the communication of the results and issues to business areas

Strategic advisor with deep industry, external / internal, enterprise knowledge, recognizing and anticipating emerging trends across the organization

Provides guidance and clarity around priorities and goals for FCRM program and works with managers to ensure the goals cascade to all workers

Guides talent identification and development processes

Key contact for dealing with a range of complex issues, including non-routine information

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

Manages and prioritizes multiple projects at a given time

Identifies and leads problem resolution for risks identified within testing reviews and share for relevancy to other business areas

Sets operational team direction and collaborate with others to execute on common goals

Manages / leads teams of FCRM testing members in the execution of FCRM Testing reviews and validation of action plans in accordance with established standards

Oversees skilled analytical research and analysis as part of the testing engagement and initiatives

Develops, implements, tracks, and reports on FCRM testing schedules and escalates any issues with adherence to timeline of reviews

Provides overall strategic direction to support the FCRM Testing Program, including associated processes and procedures to stay current with established standards and regulatory expectations

Acts as a subject matter expert and strategic advisor by providing guidance on FCRM issues to management and business units

Reports on emerging trends based on findings and insights from the testing program, identifying risks and opportunities, and recommending action to Senior Management

Understands risk identification, risk analysis, and risk mitigation according to the regulatory requirements and best business practices to assist in the execution of Testing program activities

Responsible for overseeing, leading, and developing testing team members and review owners conducting independent FCRM testing. Responsible for ensuring appropriate design and execution of the review or test in compliance with FCRM procedures and/or any applicable Bank standards / procedures

Supports relationships with key stakeholders to effectively manage and clarify scope of review while influencing and aligning others as needed

Provides functional / business level communications to stakeholders and/or leaders that are consistent, appropriate, and aligned with strategic direction

Provides guidance, leadership, coaching, and development to achieve desired operational results and professional / personal development objectives for the overall team

Provides assistance / expertise to other teams (e.g., business oversight, governance, audit), as appropriate

Works closely with key business leaders to develop business plan, ensuring the optimal use of resources and leverage TD’s operating model to maximize efficiency and effectiveness

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

Subject matter expert on the Bank’s business units and on regulatory requirements/FCRM issues within the FCRM area

Provides subject matter expertise, complex analysis and advice to business partners / team and applies knowledge in following up on outcomes, investigating and/or enforcing policy

Identifies and implements opportunities for continuous improvement in the FCRM Testing Program

Leads relationships with business lines / corporate and/or control functions to promote alignment with enterprise and/or regulatory requirements

Supports team and management in staying knowledgeable on emerging issues, trends, and evolving regulatory requirements and assesses potential impacts to the Bank

Assesses / identifies key issues and escalates to management where required

Supports the facilitation of action / remediation plans as a result of an internal audit and/or regulator review of FCRM Testing Program

Actively monitors emerging issues, trends, and evolving regulatory requirements and assesses potential impacts to the Bank and share with team members

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

Develops and provides reporting, analysis, and assessments at the functional or enterprise level

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

Creates and supports presentations / communications to management or broader audience

Participates in cross-functional / enterprise initiatives as a subject matter expert helping to identify risk / provide guidance for complex situations

Cultivates and models the Colleague Promise to support colleague growth, and a culture of care; makes an impact at work and in our communities by leading with authenticity and supporting well-being to represent TD's brand

Connects the alignment of colleague's contributions with the TD Shared Commitments

Builds and retains an engaged and diverse team that embraces diversity of thought, creativity and curiosity; where every colleague and customer are valued, respected, and listened to; committed to a common goal and collaborate to move with speed and get things done

Demonstrates inclusive leadership by taking meaningful action with intention to support colleagues and customers across all dimensions of diversity, including those from underrepresented communities, being actively anti-racist, attracting and retaining diverse slate of candidates, nurturing mutual respect, inclusivity of thought and collaboration to drive successful results

Identifies strong talent, recruits, develops and retains a diverse talent pipeline of qualified workforce to innovate and maximize individual strengths to lead to a better business outcome

Enables colleague growth by encouraging colleague development to achieve career and business objectives, ensuring timely feedback, motivating appreciation and recognition to all colleagues

Enables a continuous learning culture by proactively seeking, listening to and actioning feedback from peers and from colleague listening opportunities to continuously improve the colleague experience and grow your personal leadership

Fosters an environment that promotes sharing of knowledge, information, skills, and subject matter expertise among the team; ensures timely management and escalation of issues and creates opportunities to collaborate with other functions and teams

Leads your team through change and creates an environment where teams feel psychologically safe to challenge current practices by modeling resiliency and flexibility, communicating a compelling vision with clarity and empowering colleagues to drive innovation

Contributes to the development of business segment and/or enterprise functional strategic priorities within their operational area or field of specialty that drive results

Develops annual and/or long-term plans for own area that are aligned with enterprise-wide priorities, reinforcing a focus on results that align to One TD

Fosters a high-performance culture by setting team targets and objectives, promoting and facilitating on-going feedback /coaching and conducting Quarterly Check-Ins for all colleagues to drive accountability and business results

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

Qualification

AML/ATF regulationsFinancial crime typologiesControl frameworksCAMS certificationAuditing/Testing experienceIssue Validation ExperiencePeople managementAnalytical skillsProject managementCommunication skillsLeadership skills