drjobs Senior Counsel – Broker-Dealer and Investment Banking Anti-Money Laundering

Senior Counsel – Broker-Dealer and Investment Banking Anti-Money Laundering

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1 Vacancy
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Job Location drjobs

Mount Laurel, NJ - USA

Monthly Salary drjobs

$ 160000 - 264000

Vacancy

1 Vacancy

Job Description

Work Location:

New York New York United States of America

Hours:

40

Pay Details:

$160000 - $264000 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 candidates 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:

Legal

Job Description:

Department Overview:

TD Legal is dedicated to providing industry-leading advice and counsel to all TD business segments and corporate functions. In this Senior Counsel role you will join a dynamic and collegial team of professionals at TD Legal providing advice and supporting a wide range of legal and risk areas. This role will primarily involve advising on legal issues relating to AML Sanctions and other financial crimes risk that may impact broker-dealers and investment banking business products and services. Responsibilities will include advising on AML Sanctions anti-bribery and anti-corruption and fraud matters including regulatory expectations and best practices across business and functional segments operating within TD Securities and other LOBs. This is an opportunity to collaborate with other members of TD Legal; multi-disciplinary response teams across the enterprise including colleagues in risk management security control partners and lines of business; and to help the enterprise meet its legal and regulatory obligations relating to AML Sanctions and financial crimes.

Collaborating with talented colleagues and partners in a variety of legal specializations you will have the chance to develop your skills every day. From mentorship and training programs to leadership development we will help you realize your full potential and achieve your career goals.

Depth & Scope:

  • May manage paralegal and administrative staff assigning responsibilities and evaluating results
  • Provides leadership coaching counseling and guidance to staff
  • Supervises external counsel providing advice or other legal services of the Company
  • Works closely with General Counsel department attorneys and external legal counsel on specific legal issues related to the Companys business
  • Gives practical support and assistance to contemporaries junior attorneys and staff
  • Volunteers expert advice and experience
  • Verifies the information has been understood
  • Serves in one or more permanent or ad hoc practice groups or cross-practice teams of attorneys and staff
  • Assists in the management of expenditures for external counsel
  • Advises lines of business on best practices that help minimize legal and litigation risk
  • May assist General Counsel in developing and managing departmental budget for both internal and external legal spend
  • Anticipates client needs
  • Deals with complex legal issues
  • Clearly delivers difficult messages without jeopardizing client relationships
  • Gives pragmatic legal opinions with reasons and rationale
  • Provides advice in ambiguous situations; identifies and prevents future legal risks
  • Identifies and takes action on future opportunities
  • Resolves most situations where conflicts arise between the needs and desires of specific business units and the interests of the Company without requiring intervention of more senior attorneys
  • Demonstrates highest professional ethical and behavioral standards and complies with all applicable Bar Rules and Codes of Professional Responsibility and corporate ethical and behavioral standards
  • Participates in special projects and performs additional duties as required


Education & Experience:

  • Bachelors degree required
  • J.D. from an Accredited Law School required
  • 10 Years of related experience
  • Strong knowledge of at least one area of law relating to banking/financial services operations and issues
  • Integrity and high moral standards
  • Strong negotiation and conflict resolution skills
  • Strong legal and analysis skills
  • Detail oriented
  • Must be able to apply legal knowledge to the business
  • Ability to exercise sound judgment
  • Strong interpersonal skills
  • Excellent oral and written communication skills
  • Strong teamwork and client skills
  • Highly motivated
  • Ability to provide difficult complex and unwelcomed legal advice credibly and convincingly to management
  • Strong technology aptitude including i) proficiency with standard office software and ability to learn and apply new technologies in work environment and ii) capacity to understand current and emerging technologies in the industry and how they affect business objectives
  • Ability to identify problems and barriers and effectively implement solutions to advance business strategy
  • Operates with creativity and innovation; seeks different perspectives and new ideas
  • Ability to work in a fast-paced environment and manage multiple deadlines and priorities
  • Understands the value of knowledge management builds and supports systems and tools that efficiently connect people to the knowledge they need to do their job

Preferred Qualifications:

  • Law degree from an accredited law school and qualified to practice law in New York or New Jersey.
  • Possess 10 years of legal experience (with at least 5 years of in-house private practice or regulatory experience in the areas of AML Sanctions and/or financial crimes).
  • In-depth knowledge of the AML Sanctions and financial crimes laws and regulations is strongly recommended.
  • Experience in the investment banking and broker-dealer services sector including engaging with relevant regulators an asset.
  • Experience in the digital asset and CVC sector is recommended.
  • Demonstrated senior-level excellence in judgment leadership and relationship management skills.
  • Strong analytical and problem-solving skills as well as an advanced ability to identify problems/ barriers manage risk and effectively implement solutions to further business strategy.


Physical Requirements:

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

  • Domestic Travel Occasional
  • International Travel Occasional
  • Performing sedentary work Continuous
  • Performing multiple tasks Continuous
  • Operating standard office equipment - Continuous
  • Responding quickly to sounds Occasional
  • Sitting Continuous
  • Standing Occasional
  • Walking Occasional
  • Moving safely in confined spaces Occasional
  • Lifting/Carrying (under 25 lbs.) Occasional
  • Lifting/Carrying (over 25 lbs.) Never
  • Squatting Occasional
  • Bending Occasional
  • Kneeling Never
  • Crawling Never
  • Climbing Never
  • Reaching overhead Never
  • Reaching forward Occasional
  • Pushing Never
  • Pulling Never
  • Twisting Never
  • Concentrating for long periods of time Continuous
  • Applying common sense to deal with problems involving standardized situations Continuous
  • Reading writing and comprehending instructions Continuous
  • Adding subtracting multiplying and dividing Continuous

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

Who We Are:
TD is one of the worlds leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day we deliver legendary customer experiences to over 27 million households and businesses in Canada the United States and around the world. More than 95000 TD colleagues bring their skills talent and creativity to the Bank those we serve and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers communities and colleagues.

TD is deeply committed to being a leader in customer experience that is why we believe that all colleagues no matter where they work are customer facing. As we build our business and deliver on our strategy we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether youve got years of banking experience or are just starting your career in financial services we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs were here to support you towards your goals. As an organization we keep growing and so will you.

Our Total Rewards Package


Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g. eligibility for cash and/or equity incentive awards generally through participation in an incentive plan) and several other key plans such as 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 and reward and recognition. Learn more

Additional Information:
Were delighted that youre considering building a career with TD. Through regular development conversations training programs and a competitive benefits plan were committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development
If youre interested in a specific career path or are looking to build certain skills we want to help you succeed. Youll have regular career development and performance conversations with your manager as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience or you want to coach and inspire your colleagues there are many different career paths within our organization at TD and were committed to helping you identify opportunities that support your goals.

Training & Onboarding
We will provide training and onboarding sessions to ensure that youve got everything you need to succeed in your new role.

Interview Process
Well reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation

TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race color religion sex sexual orientation gender identity national origin age disability status as a protected veteran or any other characteristic protected under applicable federal state or local law.

If you are an applicant with a disability and need accommodations to complete the application process please email TD Bank US Workplace Accommodations Program at . Include your full name best way to reach you and the accommodation needed to assist you with the applicant process.


Required Experience:

Senior IC

Employment Type

Full-Time

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