Team Manager, KYC (US)

TD•Jacksonville, FL

2d•$72,280 - $108,160•Onsite

About The Position

The Team Manager, KYC leads and develops a team of professionals who provide oversight, expert regulatory guidance to specialized domains of TD's KYC programs. This role provides specialized project support or services. This role oversees the timely execution of client due diligence reviews using a risk-based approach to align with policy and regulatory requirements.

Requirements

Undergraduate Degree or equivalent professional work experience
3+ years of direct management experience in financial services or similar industries including fraud, know your customer, anti-money laundering, sanctions screening, or similar roles for new joiners (or) 6+ years' direct management experience in an unrelated role involving information fluency, investigation, research, or financial services broadly but not specifically KYC or AML

Responsibilities

Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required
Manages a team of analysts to perform job functions in line with policies, standards, procedures, and job aids
Ensures that personal and teamwork products are fit for purpose and audit/regulator ready
Suggests process improvements to drive better results from efficiency, accuracy, or quality of work product
Leads initiatives to help bring these improvements to fruition
Contributes to the development of team KYC Ops procedure and governance process and advises teams of changes and enhancement to enterprise KYC programs and requirements and where they may impact the line of business or the organization
Works with FCRM partners and other related groups (such as Compliance, Legal and Risk etc) to support creation of documentation and reports required by external regulatory bodies and TD internal groups
Accesses risks and controls for KYC Ops and otherwise contributes to the KYC Ops team interacting with the line of business
Provides governance oversight through management of the training exemption governance and reporting processes to the KYC Ops Senior Team
Assists team members in the use of Issues and Events system for tracking and reporting
Prepares summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of the KYC Ops as a Team Lead
Interacts with control functions within the organization as required
Conducts meaningful research, analysis and assessment of KYC Ops program activities at the functional level using results to draw conclusions, make recommendation, assess the effectiveness of KYC Ops programs
Contributes to the development of processes, procedures, and guidance relevant to own specific KYC Ops functional expertise when these opportunities to improve arise
Supports the development and maintenance of TD’s KYC Ops program, including assigning workflow to analysts, providing governance and support, and addressing and escalating issues to senior management
Manages the production of teams through metrics and data to ensure the operations of the team meet service level agreements while maintaining high quality work product
Prioritizes and manages own workload to meet KYC requirements for service and productivity and within TD’s risk appetite
Provides high quality service and advise to key business (including FCRM) partners and monitor progress of initiatives, action plans, or similar activities
Protects the interests of the organization – identifies and manages risks and ensure the prompt and thorough resolution of escalated non-standard, high-risk issues
Participates as assigned in new or revised product initiatives, advises businesses on KYC Ops requirement, and ensures that those requirements are properly written into business projects as a Team Lead
Participates in KYC Ops level projects as needed, to facilitate and oversee changes to KYC Ops process, systems, or practices
Coordinates with other KYC Ops partners and business partners to ensure consistency in the application of KYC Ops programs and standards across the enterprise
Ensures relevant KYC Ops program align with TD Corporate philosophy and strategic direction and TD’s risk appetite
Contributes to cross-functional/enterprise initiative as an organizational or subject matter expert helping to identify risk/provide guidance for complex situations
Complies with applicable internal and external audit and regulatory requirements and may actively provide support during Audit and regulatory reviews, providing recommendations and guidance as required
Maintains a culture of risk management and control supported by effective processes in alignment with the banks’ risk appetite
Participates in responding to periodic exams/audits by regulatory bodies and Internal Audit, to determine level of Compliance
Contributes to cross-functional/enterprise initiatives as an organization or subject matter expert helping to identify risk/provide guidance for complex situations
Responsible for management of the overall team providing both leadership and guidance
Contributes to the development of FCRM functional strategic priorities within their operational area or field of specialty
Develops annual and/or long-term plans for own area and influences plans well beyond area managed
Provides thought leadership and/or industry knowledge for own area of expertise in own area and participates in knowledge transfer within the team and business unit
Grows team expertise to align with FCRM/enterprise demand and direction; assesses team skills and capabilities and continually look for ways to provide and enhance the value delivered
Leads and develops a high performing team of professional FCRM resources through talent acquisition, coaching/development, and recognition; provides on-going feedback and performance reviews, coaches and develops employees and ensures performance management activities are undertaken and completed for all employees
Creates and fosters a cohesive team and promotes a positive work environment. Leads and follows up on action plans to improve employee experience
Leads the process of setting performance objectives for the team; tracks, monitors and effectively addresses and/or rewards performance in a timely manner
Manages employees in compliance with all human resources policies, procedures and guidelines of conduct
Shares knowledge, information, skills, and subject matter expertise among the team and ensures the timely communication of issues and encourages good working relationships with other functions and teams
Supports an environment where the team freely escalates business challenges; facilitates change through positive reinforcement of milestones and successes
Recruits for all hires to ensure a highly diverse, qualified workforce to achieve business objectives
Acts as a brand ambassador for the function and the bank, both internally and/or externally