Senior Manager, AML Advisory Customer Risk Strategy

TD•Toronto, ON

6d•Onsite

About The Position

Lead and manage a high performing team on delivery of AML/ATF, Sanctions, ABAC compliance programs and culture. Provide guidance, leadership, coaching and development to direct reports to ensure operational results and professional/personal development objectives are achieved. Provide strategic direction on a broad and diverse range of complex AML/ATF/ Sanctions/ABAC program activities. Proactively advise covered TD businesses of new and changed AML/ATF/ Sanctions/ABAC regulatory and/or policy requirements and articulate the impact to their processes and controls. Contribute to the development and implementation of AML/ATF/Sanctions/ABAC Compliance programs. Work with senior business unit management / partners to develop proactive strategies, tactics, policies, and programs to effectively manage regulatory / compliance issues. Provide insight, guidance, and recommendations and act as a specialized resource to other departments based on subject matter expertise including, but not limited to, customer identification and due diligence, enhanced due diligence, policy, governance, training and/or compliance assurance and testing. Manage and provide oversight on day-to-day operations of the department and participate in enterprise wide or Customer focused special projects on behalf of FCRM. Deliver subject matter expertise and AML/ATF/Sanctions/ABAC guidance to business management, including developing and maintaining management reporting and analysis. Coordinate/ Manage the team’s participation in / responses to regulatory examinations and internal / external audits, reviewing, packaging, and tracking and providing information for department executive.

Requirements

Undergraduate degree or equivalent work experience
10+ years experience

Responsibilities

Lead and manage a high performing team on delivery of AML/ATF, Sanctions, ABAC compliance programs and culture
Provide guidance, leadership, coaching and development to direct reports to ensure operational results and professional/personal development objectives are achieved
Provide strategic direction on a broad and diverse range of complex AML/ATF/ Sanctions/ABAC program activities
Proactively advise covered TD businesses of new and changed AML/ATF/ Sanctions/ABAC regulatory and/or policy requirements and articulate the impact to their processes and controls
Contribute to the development and implementation of AML/ATF/Sanctions/ABAC Compliance programs
Work with senior business unit management / partners to develop proactive strategies, tactics, policies, and programs to effectively manage regulatory / compliance issues
Provide insight, guidance, and recommendations and act as a specialized resource to other departments based on subject matter expertise including, but not limited to, customer identification and due diligence, enhanced due diligence, policy, governance, training and/or compliance assurance and testing
Manage and provide oversight on day-to-day operations of the department and participate in enterprise wide or Customer focused special projects on behalf of FCRM
Deliver subject matter expertise and AML/ATF/Sanctions/ABAC guidance to business management, including developing and maintaining management reporting and analysis
Coordinate/ Manage the team’s participation in / responses to regulatory examinations and internal / external audits, reviewing, packaging, and tracking and providing information for department executive
Develop and oversee the implementation of business line policies and procedures
Work closely with leaders to develop and operationalize the business plan and deliver on AML/ATL/Sanctions/ABAC programs across the enterprise
Plan and execute on strategic activities, review, and communicate results, and adjust tactics accordingly
Proactively identify key business opportunities, research, and recommend enhancements / modifications, develop strategies to achieve recommendations and work closely with team to execute and implement
Understand TDBG issues / parameters and guide others to protect the reputation and interest of TDBG by adhering to operating standards and processes related to AML/ATF/ Sanctions/ABAC
Provide oversight on risk assessment processes as required
Protect the interests of the organization – identify and manage risks, and escalate non-standard, high-risk transactions / activities as necessary
Keep current on emerging issues, trends, and evolving regulatory requirements and assess potential impacts
Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite
Liaise with regulatory and law enforcement agencies on AML/ATF/ Sanctions/ABAC examinations and related inquiries
Ensure employees are building and enhancing their knowledge and expertise; and employees assume responsibility in minimizing e operational and regulatory risk by complying with Bank policy and Code of Conduct
Responsible for management of the overall team providing both leadership and guidance
Contribute to the development of business line and/or enterprise functional strategic priorities within their operational area or field of specialty
Lead a high performing team; provide on-going feedback and performance reviews, coach and develop employees and ensure performance management activities are undertaken and completed for all employees
Lead the process of setting performance objectives for the team; track, monitor and effectively address and/or reward performance in a timely manner
Manage employees in compliance with all human resources policies, procedures, and guidelines of conduct
Share knowledge, information, skills, and subject matter expertise among the team and ensure the timely communication of issues and encourage good working relationships with other functions and teams
Support an environment where team freely escalates business challenges; facilitate change through positive reinforcement of milestones and successes
Recruit for all hires to ensure a highly diverse, qualified workforce to achieve business objectives
Establish and foster a cohesive team; promote a fair and equitable environment that supports a diverse workforce and encourage the team to achieve common goals and objectives
Act as a brand ambassador for your business area/function and the bank, both internally and/or externally
Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance, supporting compensation decisions, promoting teamwork, and handling disciplinary actions, as required
Support the development of a high-performance business oversight team as a member of the Leadership team.
Oversee and lead a large and/or highly complex and diverse AML/ATF/ Sanctions/ABAC F function for an area of significant risk, complexity or scope while growing talent, developing skills and capabilities to achieve career goals, support project / initiative success and achieve business results
Provide oversight to programs for an assigned portfolio of complex and dynamic TD businesses and legal entities
Maintain highly specialized expertise and in-depth knowledge to manage AML/ATF/ Sanctions/ABAC programs for multiple, significant complex businesses, functional areas and/or global business lines
Provide coaching, mentorship and guidance to practitioners, business, executives within area of expertise
Manage and oversee the overall discipline and strategy for the AML/ATF/ Sanctions/ABAC area while aligning to the enterprise best practices
Position typically deals with senior/executive management
Key contact for business management, regulators, and external/internal auditors, dealing with a broad range of issues including non-routine information
Focus on longer-range planning for functional area (e.g., 12 months or greater)
May manage and prioritize multiple projects at a given time
Act as highest point of team escalation for resolution and provides direction to resolve issues or escalate
Generally reports to executive management