Senior Manager, Centralized Governance & Control AML TestingQA (US)

Work Location:

Hours:

Pay Details:

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:

Job Description:

This role oversees and leads a highly complex and diverse governance and control function for an area of significant risk complexity or scope usually involving medium to long term planning ensuring an integrated approach with other governance and control areas the broader organization and enterprise control functions. This position will be responsible for leading developing and executing activities within the Centralized Governance & Controls (CG&C) AML testing and Quality Assurance (QA) program including AML/CTF (KYC CIP etc.) Sanctions and Anti-Bribery coverage for first line owned functions. The individual in this role will be accountable for leading and providing oversight testing and quality assurance reviews to ensure operational risk and compliance requirements related to financial crimes are adhered to and supporting the results with robust workpaper documentation as well as leading a team of high-performing individuals.

Depth & Scope:

• 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 asrequired
• Oversees and leadsa highly complexand diverse function for an area of significant risk complexity or scope while growing talent developing skills and capabilities to achieve career goals supports project / initiative success and achieve business results
• Manages and oversees the overall discipline and strategy for the respective areas while aligning to the enterprise best practices
• Provides coaching mentorship and guidance to practitioners business executives within area of expertise
• Strategic partner to leadership team on the management of the function with deep industry external / internal enterprise knowledge recognizing andanticipatingemerging trends and;identifyingoperational efficiencies and opportunities with other business management / enterprise areas
• Sets operational team direction and collaborate with others to execute on common goals
• Focuses on longer-range planning for functional area

Education & Experience:

• Undergraduate degreepreferred
• Deep industry and business knowledge andexpertiseon risk and control functions
• 10 yearsofrelevant experience

Preferred Qualifications:

• Experienced in audit testing and/or QA/QC experience using standard risk testing or audit techniques (transactional testing control testing re-performance testing adherence testing and more)
• Prior experience in developing overseeing and performing process deep-dives to assess the adequacy of risk mitigations for financial crimes risk in order to identify assurance testing needs.
• Demonstrated experience in testing/auditing/QA of AML (CIP KYC etc.) Sanctions and/or Anti-Bribery Anti-Corruption.
• Experience in communicating adverse testing/audit results and drafting issue writeups.
• Demonstrated experience leading a team of high-performing individuals

Customer Accountabilities:

• Provides direction to complex wide-ranging enterprise or cross-function / businessprojectsas aSMEandparticipatesin designing testing andimplementationof solutions
• Developscommunicatesand implements a holisticgovernance and controlstrategy for own specific businessfunction in support of and integrated with the overall business strategy
• Manages and plansactivities that require alignment acrossmultiple areas
• Leads theimplementation of regulatory change management and provides guidance to theteam in the development and/or integrated implementation of policies /procedures / changes across multiplebusiness /functional areas
• Leads partnership withmanagement and respective teams for areaof specialization with industry enterpriseand business awareness; recognizing andanticipatingemergingtrends andidentifyingissues and opportunities and recommending actionstosenior management
• Ensures alladministration control and compliance activitiesare complete andaccurateto meet targets for own area
• Ensures an integrated and aggregated view of all relatedbusiness risk andcontrolactivities across the overallfunction providing escalations recommendations anddecision support to leadership
• Forecasts programs / initiatives and demand and coordinates prioritization of the portfolio /initiatives with key stakeholders
• Provides functional / business level communications to ensure messages to stakeholdersand/or employees are consistentappropriateand aligned to businessriskstrategies andexecutive management direction

Shareholder Accountabilities:

• Works closely withsenior managementto develop business plan ensuring theoptimaluse of resources and leverage TDs operating model to maximize efficiencyeffectivenessand scale
• Leadsinterface andrelationships with control functions to ensure alignment with enterprise and/or regulatory requirements
• Assesses / identifies key issues and escalates toappropriate levelsand relevant stakeholders and business management whererequired
• Identifiesmitigatesand reports on risk issues per enterprise policy / guidance and ensuresappropriate escalationprocesses are followed
• Ensures business operationsare incompliance withapplicable requirements ( controls segregation of duties and physical control of assets)
• Leads or contributes to cross-functional/ enterprise initiatives as a SMEhelping toidentifyrisk / provide guidance for complex situations
• Manages oversight process risk-based identification and monitoring of related risks and regulatory compliance across the supported functions while ensuring key controls and processes are effectively managed
• Oversees or leads the facilitation and/or implementation of action / remediation plans to address performance / risk / governance issues
• Protects the interests of the organization identifiesand manages risks and escalates non-standard activities as necessary
• Maintains a culture of risk management and control supported by effective processes in alignment with risk appetite

Employee/Team Accountabilities:

• Responsible for management of the overallteam providing both leadershipguidance andexpertise; ensuresteam adheres to enterprise frameworks and methodologies
• Supports team in staying knowledgeable on emerging issues trends and evolving regulatory requirements and assesspotential impacts to the Bank
• Leads a high performing team; provides on-going feedback and performance reviews coaches and develops employees and ensures performance management activities are undertaken and completed for all employees
• Leads the process of setting performanceobjectivesfor the team; tracksmonitorsand effectively addresses and/or rewards performancein a timely manner
• Manages employees in compliance with all human resources policiesproceduresand guidelines of conduct
• Supports an environment where team freely escalates business challenges;facilitateschange through positive reinforcement of milestones and successes
• Recruits for all hires to ensure a highly diverse qualified workforce to achieve business objectives
• Establishes and fosters a cohesive team; promotes a fair andequitableenvironment that supports a diverse workforce and encourages the team to achieve common goals andobjectives
• Acts as a brand ambassador for your business area / function and the bank

Physical Requirements:

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

• Domestic Travel Occasional
• International Travel Never
• 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 strive to make every interaction product and experience remarkably human and refreshingly simple for 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 foster deeper relationships ensure disciplined execution and build a simpler faster banking experience. TD is deeply committed to being a leader in client experience that is why we believe that all colleagues no matter where they work are client facing. Together we are reimagining what banking can be for our clients colleagues and communities.

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.

If youre passionate about helping clients and building deep lasting relationships TD offers diverse career paths where you can grow your expertise and make a meaningful impact.

Were committed to your success and foster a respectful workplace where diverse perspectives are valued everyone has fair opportunities to grow and you can unlock your full potential to achieve your career goals. Here at TD we hire and develop the best.

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.