Work Location:
United States of America
Hours:
40
Pay Details:
$110,760 - $178,880 USD
TD is committed to providing fair and equitable compensation opportunities to all colleagues. The included salary range for this role takes into account multiple factors that are considered in making compensation decisions. The base pay actually offered may vary based upon candidate's skills and experience, job-related knowledge, licensure and certifications, geographic location, and other specific business and organizational needs. As TD puts career development at the forefront of our colleague experience, it is not typical for an individual to be hired at or near the top of the range for their role.
As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.
Line of Business:
Financial Crime Risk Management
Job Description:
The Senior Manager, AML Financial Crime Risk Oversight oversees the team and leads 2nd-line oversight activities and monitoring of the AML/ATF/Sanctions/ABAC compliance programs for covered TD businesses and legal entities, including managing critical program initiatives and handling complex/high-risk matters and escalations.
This role will support the US Wealth Management group and serves as a crucial safeguard against financial Crimes within our Wealth and Broker Dealer groups. The Senior Manager should be well-versed in AML laws and regulations as they apply to Wealth Management, Private Banking and Broker-Dealers.
Depth & Scope:
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 Supports the development of a high-performance business oversight team as a member of the Leadership team Oversees and leads a large and/or highly complex and diverse AML/ATF/Sanctions/ABAC 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 Provides oversight to programs for an assigned portfolio of complex and dynamic TD businesses and legal entities Maintains 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 Provides coaching, mentorship and guidance to practitioners, business, executives within area of expertise Manages and oversees 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 Focuses on longer-range planning for functional area (e.g., 12 months or greater) May manage and prioritize multiple projects at a given time Acts as highest point of team escalation for resolution and provides direction to resolve issues or escalate
Education & Experience:
Undergraduate degree or equivalent work experience 10+ years of experience
Preferred Qualifications:
5 years of AML law and regulation experience as it relates to wealth management and private banking activities including FINRA requirements
Customer Accountabilities:
Leads and manages a high performing team on delivery of AML/ATF/Sanctions/ABAC compliance programs and culture Provides guidance, leadership, coaching and development to direct reports to ensure operational results and professional/personal development objectives are achieved
Provides strategic direction on a broad and diverse range of complex AML/ATF/ Sanctions/ABAC program activities Proactively advises covered TD businesses of new and changed AML/ATF/Sanctions/ABAC regulatory and/or policy requirements and articulates the impact to their processes and controls Contributes to the development and implementation of AML/ATF/Sanctions/ABAC Compliance programs
Works with senior business unit management/partners to develop proactive strategies, tactics, policies, and programs to effectively manage regulatory/compliance issues Provides insight, guidance, and recommendations and acts 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 Manages and provides oversight on day-to-day operations of the department and participates in enterprise wide or Customer focused special projects on behalf of GAML Delivers subject matter expertise and AML/ATF/Sanctions/ABAC guidance to business management, including developing and maintaining management reporting an
Location: New York, NY
Posted: Oct. 2, 2024, 6:49 a.m.
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