AML Financial Crime Risk Oversight - Issue Management & Remediation Manager (US)

$86,840 - $139,360/Yr

TD Bank - New York, NY

Full-time - Mid Level

Remote - New York, NY

10,001+ employees

Credit Intermediation and Related Activities

About the position

The 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. This includes managing critical program initiatives and handling complex/high-risk matters and escalations. The AML Financial Crimes Risk Management Team (US) consists of a dynamic group of professionals that identify, assess, and escalate issues, as well as opportunities to enhance processes and controls in accordance with regulatory and internal requirements. The successful candidate will be responsible for the Self-Identified Issue (SII) process for the Financial Crimes Risk Management group, which involves supporting SII owners by tracking and documenting issues, drafting or reviewing exam/audit action plans, and ensuring the completeness and accuracy of supporting documentation to evidence proper governance. The role requires a proven track record of supporting and working with a senior management team and multiple functions within an organization, with a strong emphasis on prioritization, communication, and accountability. The ideal candidate must be discreet, able to operate under minimal oversight, and find creative solutions to resolve issues and identify process enhancements. They will execute tasks and projects in a tight deadline-driven environment and communicate effectively and responsively.

Responsibilities

• Oversee the team and lead 2nd-line oversight activities and monitoring of AML/ATF/Sanctions/ABAC compliance programs.
• Manage critical program initiatives and handle complex/high-risk matters and escalations.
• Support SII owners by tracking and documenting issues and drafting or reviewing exam/audit action plans.
• Ensure completeness and accuracy of supporting documentation to evidence proper governance.
• Escalate matters to senior management when appropriate.
• Provide people management leadership by hiring the best talent and managing employee performance.
• Lead and manage a team of AML/ATF/Sanctions/ABAC professionals and overall operation of a diverse group.
• Provide oversight to aspects of an assigned portfolio of mature or non-complex and dynamic TD businesses and legal entities.
• Proactively advise covered TD businesses of new and changed AML/ATF/Sanctions/ABAC regulatory and/or policy requirements.
• Coordinate/manage the team's participation in regulatory examinations and internal/external audits.

Requirements

• Undergraduate degree or equivalent work experience.
• 7+ years of experience in a relevant field.
• Proven track record of supporting and working with a senior management team.
• Ability to prioritize and communicate with all levels of leadership.
• Strong sense of accountability and discretion.

Nice-to-haves

• Exam management, audit or relevant experience.
• Experienced in interaction with regulatory authorities.
• Excellent analytical and quantitative skills.

Benefits

• Base salary and variable compensation/incentive awards.
• Health and well-being benefits.
• Savings and retirement programs.
• Paid time off including Vacation PTO, Flex PTO, and Holiday PTO.
• Banking benefits and discounts.
• Career development opportunities.