Monitoring Coverage & Capabilities Issue and Exam Management Financial Crime Risk Specialist – TDS US

Work Location:

Mount Laurel, New Jersey, United States of America

Hours

40

Pay Details

$91,000 - $145,600 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

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

This role is not eligible for TD work visa support or sponsorship (e.g., H-1B, F-1 OPT/STEM OPT, TN or other work visa authorizations). Applicants must have authorization to work in the United States without current or future need for TD sponsorship.

U.S. Financial Crime Risk Management Monitoring Coverage & Capabilities (MCC) Issue and Exam Management plays a critical role in supporting the organization's compliance with regulatory requirements, specifically regarding the detection of money laundering risks. This position acts as a central point of coordination to comprehensively manage audits, regulatory examinations, and other internal or external reviews related to TD Securities AML transaction monitoring. This individual will also promote timely and accurate responses to requests for information (RFIs) from examiners and auditors; coordinate with subject matter experts to develop and credibly challenge responses to RFIs; and support the lifecycle (i.e., issuance through to closure) of issues from internal and external reviews as well as self-identified issues.

The Financial Crime Risk Specialist role develops and maintains TD’s AML/ATF/Sanctions/ABAC programs, including frameworks, methodologies, policies, standards, procedures, awareness and specialized training, monitoring, management reporting and/or escalation of issues. This role conducts periodic and event driven reviews of customers, including targeted reviews to assess risks. Additionally, this role supports management in delivery of initiatives related to risk assessment, internal/external exam support, etc.

Depth & Scope

• Highly seasoned professional role requiring substantial knowledge / expertise in a complex field and knowledge of broader related areas
• Integrates knowledge of the sub-functions overarching strategy in developing solutions across multiple functions or operations
• Interprets internal / external business challenges and the industry environment, recommends course of action and best practices to improve products, processes or services
• Acts as a technical expert / lead integrating cross-function understanding within their own field of specialty
• Leads cross-functional teams or projects with significant resource requirements, risk and/or complexity
• Independently manages end-to-end functional programs
• Solves or may lead others to solve complex problems; leads efforts or partners with others to develop new solutions
• Uses sophisticated analytical thought to exercise judgement and identify solutions
• Impacts the achievement of sub-function or business line objectives within the area they are accountable for
• Work is guided by policies and industry standards/methods
• Communicates difficult concepts; converts information to compelling business context and advice; influences and gains alignment across increasingly senior stakeholders
• Works autonomously as the lead and guides others within area of expertise

Education & Experience

• Undergraduate degree or equivalent work experience
• 7+ years experience

Preferred Skills

• In lieu of an undergraduate degree and 7+ years of experience, TD will consider those with a Bachelor's degree and 5+ years of relevant experience.
• Minimum of 2+ years of experience in Markets and Securities
• CAMS Certified
• Investment Banking/Markets Product experience preferred
• Consistently demonstrates clear and concise written and verbal communication skills
• Ability to work independently to proactively identify and analyze issues and provide credible challenge, yet work collaboratively to support subject matter experts from a risk management perspective
• Prior Risk Management or Issue Management experience preferred

Customer Accountabilities

• Leads the development of team procedures and governance processes and advises FCRM stakeholders and teams of changes and enhancements to enterprise FCRM programs and requirements and where they may impact in the organization.
• Works with FCRM partners and other related groups (such as Compliance, Legal and Risk etc.) to support creation of documentation and