Financial Crimes Program Mgr

TD • Charlotte, NC

7d

About The Position

The Business Control Senior Manager coordinates all audits and examinations at TDAF by internal and external regulatory governance groups to ensure consistent representation of TDAF. In addition, this job monitors and reports remediation of all identified control issues for the company. Further, Anti-Money Laundering and Bank Secrecy Act compliance implementation and monitoring will be led by this position.

Requirements

• 4 year Bachelors degree required; Masters degree preferred
• At least 10 related experience required
• CPA, CIA or other applicable certification
• Excellent leadership skills.
• Proven ability in planning and project management.
• Demonstrated ability in maintaining composure under pressure while meeting multiple deadlines
• Proficiency in using MS-Office for word processing, spreadsheets, databases, and presentations
• Subject matter expert knowledge of the regulatory environment in the financial services industry
• Excellent verbal and written communication skills and the ability to interface effectively and build relationships with internal and external parties
• Excellent presentation and facilitation skills
• Excellent organizational, analytical and problem solving skills
• Exceptional ability to teach, guides, model, reinforce, and/or direct the individuals and team to success

Nice To Haves

• Experience at a major accounting firm preferred
• Financial Services industry experience preferred

Responsibilities

• Oversees the monitoring and reporting of remediation of all identified control issues for the company
• Directs Anti-Money Laundering and Bank Secrecy Act compliance implementation and monitoring
• Central point of contact for all auditors and examiners including the OCC, State Regulators, TD Internal Audit and Compliance groups including Global AML, TRMIS and CCR
• Assists coordinating the examinations of TDAF with the TD Regulatory Program Management team
• Provides support for the team to ensure appropriate subject matter experts are engaged in examinations, including TDAF operational areas and TD Bank colleagues
• Coordinates the responses to information requests from examiners
• Develops and maintains a database that stores all documentation provided to regulatory bodies
• Monitors and controls examinations
• Notifies executive management of any significant issues as they arise
• Provides management reporting on the status of all on-going audits and examinations
• Manages the review results and reports of examinations and coordinates the preparation of management responses
• Reviews proposed management responses for adequacy, completeness, consistency and interdependencies
• Ensures responses are communicated and discussed with all interested and vested parties at TDAF prior to communication with examiners
• Collaborates with TD Bank colleagues regarding the resolution of exam findings
• Determines the need to involve personnel from other areas of the Bank for resolution of exam findings
• Manages a comprehensive database for all TDAF audit and exam findings, management responses and their respective resolutions
• Oversees tracking status of management actions to remediate findings and validate remediation has occurred
• Provides consolidated and detailed management reporting on the status of all audit and exam findings
• Develops a plan to implement an AML and BSA program within TDAF.
• Manages the implementation of the AML/BSA plan with operational areas and IT
• Assists in the coordination of any examination of TDAF AML and BSA processes
• Provides guidance in the implementation of new business processes or control enhancements throughout the company
• Proposes, schedules, plans and champions projects to improve efficiencies to provide more effective business support

Benefits

• Growth opportunities and skill development are defining features of the colleague experience at TD.
• Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role.
• Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals.
• Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition.
• Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.
• You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.

What This Job Offers

• Job Type: Full-time
• Career Level: Manager
• Number of Employees: 5,001-10,000 employees