Senior Centralized Governance & Controls AML Testing/QA Analyst (US)

TD Bank•Laurel, MD

19h•Onsite

About The Position

The 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 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 executing sample testing of 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
Broad and deep knowledge of business and risk and control environment
5+ years of relevant experience

Nice To Haves

Demonstrated experience in testing/auditing/QA of AML (CIP, KYC profile reviews, etc.).
Prior experience in performing process deep-dives to assess the adequacy of risk mitigations for financial crimes risk to identify assurance testing needs.
Experience in documenting testing/audit results and drafting writeups.

Responsibilities

SME level professional role requiring in-depth business knowledge / expertise in own domain / field of specialty and working knowledge of broader related areas
Integrates the broader organizational context into advice and solutions within own area
Understands a certain aspect of the industry, competition and the factors that differentiate the organization
Applies best practices to implement process, product or service improvements
Leads projects of moderately to complex risk and resource requirements; may lead end-to-end processes or functional programs
Contributes to setting standards within area of expertise
Solves complex problems requiring analysis of multiple variables, including consultation with multiple stakeholders
Uses advanced methods to contribute to new solutions and recommend standards against which others will operate
Interprets guidelines, standards, policies and results of analysis to inform decision making at senior levels
Works independently as a SME or lead and guides others within area of expertise
Provides specialized centralized governance and control related advice / support to management / leadership and respective teams for area(s) of specialization
Leads on the implementation of governance and control initiatives in support of the overall business/function strategy
Manages a set of centralized governance and control work activities requiring coordination across multiple areas
Reviews processes and controls and “connect the dots” across issues and control deficiencies in order to increase standardization of solutions, processes and controls
Supports / manages the integrated implementation of policies / processes / procedures / changes across multiple functional areas
Provides subject matter expertise to projects / initiatives, and participates in identifying, designing and testing solutions and supporting implementation activities
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
Conducts research projects; supports the development / delivery of materials and presentations to management or broader audience
Adheres to enterprise frameworks or methodologies that relate to activities for own business area
May lead work streams by acting as a project lead / SME for medium scale projects / initiatives in accordance with project management methodologies
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 effective 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
Supports team by regularly enhancing knowledge / expertise in own area and participates in knowledge transfer
Keeps current on emerging trends / developments and grows 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