Centralized Governance & Control Specialist - AML Testing/QA Analyst (US)

TD•Mount Laurel, NJ

1d•$91,000 - $145,600•Onsite

About The Position

This role manages a portfolio of governance and control activities for moderately complex or high-risk business or functional area and implements policies / processes and/or initiatives to meet governance and control guidelines. Acts as a technical lead on key control initiatives. This position will be responsible for supporting the development and execution of the Centralized Governance & Controls (CG&C) AML testing and Quality Assurance (QA) program, including AML/CTF, Sanctions, and Anti-Bribery coverage for first line owned functions. The individual in this role will be accountable for leading and conducting independent testing and quality assurance reviews to ensure operational risk and compliance requirements related to financial crimes are adhered to and supporting the results with robust workpaper documentation.

Requirements

Undergraduate degree preferred
Advanced business understanding and knowledge of risk and control functions
7+ years of relevant experience
Experienced in audit, testing, and/or QA/QC experience using standard risk testing or audit techniques (transactional testing, control testing, re-performance testing, adherence testing, and more)
Prior experience in performing process deep-dives to assess the adequacy of risk mitigations for financial crimes risk in order to identify assurance testing needs
Demonstrated experience in testing/auditing/QA of AML (CIP, KYC, etc.), Sanctions, and/or Anti-Bribery Anti-Corruption
Experience in communicating adverse testing/audit results and drafting issue writeups

Responsibilities

Supports the development and execution of the Centralized Governance & Controls (CG&C) AML testing and Quality Assurance (QA) program, including AML/CTF, Sanctions, and Anti-Bribery coverage for first line owned functions.
Leads and conducts independent testing and quality assurance reviews to ensure operational risk and compliance requirements related to financial crimes are adhered to.
Supports the results of testing and QA reviews with robust workpaper documentation.
Contributes to the strategic direction of the centralized governance and control function and plays a key role in the development and implementation of risk strategies in support of the overall business strategy.
Develops and documents a comprehensive inventory of processes and controls with clearly defined owners and roles and responsibilities for each process and control.
Participates in the intake of applicable regulation, assessment of impact to the business line, and the comprehensive mapping of associated controls to rules and regulations.
Reviews end-to-end processes and controls and “connect the dots” across issues and control deficiencies across various BUs in order to increase standardization of solutions, processes and controls.
Leads the integrated execution of policies / procedures / changes across multiple functional areas.
Provides direction to complex, wide ranging enterprise or cross-function / business projects as a SME, identify risk / provide guidance for complex situations and participate in designing, testing, and implementation of solutions.
Acts as lead for area of specialization with industry, enterprise, and business awareness; recognizing and anticipating emerging trends and; identifying issues and opportunities and recommending action to senior management in the governance and control space.
Ensures programs / policies / practices are well managed, meets business needs / priorities, and complies with internal / external requirements.
Exercises discretion in managing communication / correspondence, information and all matters of confidentiality.
Leads research projects; supports the development / delivery of materials and presentations to management or broader audience.
Conducts analysis at the functional or enterprise level using results to draw conclusions, makes recommendations, assesses the effectiveness of programs, policies, or practices.
Adheres to enterprise frameworks or methodologies that relate to activities across businesses and functions.
Manages relationships within and across various business lines, corporate and/or control functions and ensure alignment with enterprise and/or regulatory requirements.
Protects the interests of the organization – identifies and manages risks, and escalates non-standard, high-risk transactions / activities as necessary.
Maintains a culture of risk management and control, supported by processes in alignment with risk appetite.
Is knowledgeable of and complies with Bank Code of Conduct.
Participates as a member of the team, supports a positive work environment and ensures timely communication.
Provides leadership as a SME and participates in knowledge transfer within the team / business unit.
Keeps current on emerging trends / developments and grow knowledge of the business, related tools and techniques.
Keeps others informed about the status / progress of projects.
Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices.
Contributes to a fair, positive and equitable environment.
Acts as a brand ambassador for your business area/function and the bank.