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

TD•Mount Laurel, NJ

1d•$72,280 - $117,520•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
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

Supports 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.
Executes sample testing of quality assurance reviews to ensure operational risk and compliance requirements related to financial crimes are adhered to.
Supports the results of quality assurance reviews with robust workpaper documentation.
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.