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TD · 15 hours ago

Financial Crime Risk Business Oversight Specialist (US) - Wealth

Mount Laurel, NJ

Full-time

Onsite

Senior Level

7+ years exp

TD is one of the world's leading global financial institutions, and they are seeking a Financial Crime Risk Business Oversight Specialist to provide expert guidance on AML/ATF/Sanctions/ABAC compliance programs. This role involves managing specialized functions, providing regulatory compliance advice, and supporting the development of effective compliance programs across the organization.

BankingFinanceFinancial ServicesWealth Management

Responsibilities

Provides expert/specialized regulatory compliance and prudential risk management guidance on AML/ATF/Sanctions/ABAC matters affecting covered TD businesses

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

Guides and partners with covered TD businesses through the development, implementation, oversight, and management of effective AML/ATF/Sanctions/ABAC Compliance Programs

Escalates and manages to resolution significant issues and events

Represents FCRM on internal or external committees relating to designated business activities as required

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

Actively assists in developing and overseeing implementation of business line policies and procedures

Collaborates with subject matter experts to develop and enhance methodologies for analyzing risk exposures of covered TD businesses

Ensures respective programs/policies/practices are well managed, meets business needs, complies with internal and external requirements, and aligns with business priorities

Consistently exercises discretion in managing correspondence, information, and all matters of confidentiality; escalates issues where appropriate

Supports the development of annual awareness training

Protects the interests of the organization – identifies and manages risks, and ensures the prompt and thorough resolution of escalated non-standard, high-risk issues

Actively manages relationships within and across various business lines, corporate and/or control functions and ensures alignment with enterprise and/or regulatory requirements

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

Handles inquiries/requests from Internal Audit and regulators

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

Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation, and teamwork and ensures timely communication of issues/points of interest

Provides thought leadership and/or industry knowledge for own area of expertise in own area and participates in knowledge transfer within the team and business

Participates in personal performance management and development activities, including cross training within own team

Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices

Leads, motivates and develops relationships with internal and external business partners/stakeholders to develop productive working relationships

Contributes to a fair, positive, and equitable environment that supports a diverse workforce

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

Qualification

AML complianceATF complianceSanctions complianceABAC complianceRegulatory guidanceRisk managementProblem resolutionTeam collaborationCommunication skillsMentorship

Required

Undergraduate degree or equivalent work experience

7+ years experience

Senior specialist with AML/ATF/Sanctions/ABAC expertise

Works independently and is accountable for managing a specialized AML/ATF/Sanctions/ABAC function or area

Provides comprehensive coverage for a significant business or functional area across all legal entities and jurisdictions where TD operates

Provides AML/ATF/Sanctions/ABAC advice to a business as FCRM representative on a complex project or change initiative

Provides advanced analysis and/or specialized reporting to support business partners, functional areas, or centers of expertise

Provides guidance and support to analysts on matters related to portfolio and specialty

Expert knowledge of the business and operational functions supported

Typically a subject matter expert for a key functional AML/ATF/Sanctions/ABAC area and business requirements

Contact for business management, external/internal auditors, dealing with non-routine information

Manages/assists with regulatory reviews including inquiries, audits, and exams

Deep knowledge and understanding of businesses/technology, and organizational practices/disciplines

Identifies and leads problem resolution for project/program complex requirements related issues at all levels