TD Bank
Sanctions Advisory Manager
Sanctions Advisory Managers are aligned to specific lines of business to act as key advisors on OFAC and global sanctions issues, guidance, processes, regulatory changes, and escalations. The ideal candidate will have sanctions regulatory and compliance knowledge and experience, as well as a functional understanding of banking products. Successful candidates will be proactive, self-starters who collaborate well across the organization, build relationships as a trusted advisor, and demonstrate excellent verbal and written communication skills. In this specific role, the Sanctions Advisory Manager will support corporate functions by providing oversight, subject matter expert policy/regulatory guidance and advisory services related to specialized domains of TDs Sanctions programs. The Manager, Financial Crime Risk Business 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. 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 Leads and manages a team of AML/ATF/Sanctions/ABAC professionals and overall operation of a diverse group in an area of moderate 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 aspects of an assigned portfolio of mature or non-complex and dynamic TD businesses and legal entities Expert knowledge of the business and operational functions supported Leads teams with multiple points of internal and external contacts Work focus time horizon is medium to long term (6 months to a year) with moderate to high focus on strategic planning Deep knowledge and understanding of businesses/technology, and organizational practices/disciplines Contact for business management, external/internal auditors, dealing with non-routine information Sound knowledge of external competition, industry and/or market trends in relation to own function/business Involves contact with cross-functional teams across TDBG and external contacts Education & Experience: Undergraduate degree or equivalent work experience 7+ years experience Preferred Skills: 3-5 years of OFAC and global sanctions experience CGSS or ACSF certification 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 FCRM Delivers subject matter expertise and AML/ATF/Sanctions/ABAC guidance to business management, including developing and maintaining management reporting and analysis Coordinates/manages the teams participation in/responses to regulatory examinations and internal/external audits, reviewing, packaging, and tracking and providing information for department executive Shareholder Accountabilities: Develops and oversees the implementation of business line policies and procedures Works closely with leaders to develop and operationalize the business plan and deliver on AML/ATF/Sanctions/ABAC programs across the enterprise Plans and executes on strategic activities, reviews, and communicates results, and adjusts tactics accordingly Proactively identifies key business opportunities, research, and recommends enhancements/modifications, develops strategies to achieve recommendations and works closely with team to execute and implement Understands TDBG issues/parameters and guides others to protect the reputation and interest of TDBG by adhering to operating standards and processes related to AML/ATF/Sanctions/ABAC Provides oversight on risk assessment processes as required Protects the interests of the organization
identifies and manages risks, and escalates non-standard, high-risk transactions/activities as necessary Keeps current on emerging issues, trends, and evolving regulatory requirements and assesses potential impacts Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite Liaises with regulatory and law enforcement agencies on AML/ATF/Sanctions/ABAC examinations and related inquiries Ensures employees are building and enhancing their knowledge and expertise; and employees assume responsibility in minimizing operational and regulatory risk by complying with Bank policy and Code of Conduct Employee/Team Accountabilities: Responsible for management of the overall team providing both leadership and guidance Contributes to the development of business line and/or enterprise functional strategic priorities within their operational area or field of specialty 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 performance objectives for the team; tracks, monitors and effectively addresses and/or rewards performance in a timely manner Manages employees in compliance with all human resources policies, procedures, and guidelines of conduct Shares knowledge, information, skills, and subject matter expertise among the team and ensures the timely communication of issues and encourages good working relationships with other functions and teams Supports an environment where team freely escalates business challenges; facilitates change 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 and equitable environment that supports a diverse workforce and encourages the team to achieve common goals and objectives Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally 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
Sanctions Advisory Managers are aligned to specific lines of business to act as key advisors on OFAC and global sanctions issues, guidance, processes, regulatory changes, and escalations. The ideal candidate will have sanctions regulatory and compliance knowledge and experience, as well as a functional understanding of banking products. Successful candidates will be proactive, self-starters who collaborate well across the organization, build relationships as a trusted advisor, and demonstrate excellent verbal and written communication skills. In this specific role, the Sanctions Advisory Manager will support corporate functions by providing oversight, subject matter expert policy/regulatory guidance and advisory services related to specialized domains of TDs Sanctions programs. The Manager, Financial Crime Risk Business 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. 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 Leads and manages a team of AML/ATF/Sanctions/ABAC professionals and overall operation of a diverse group in an area of moderate 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 aspects of an assigned portfolio of mature or non-complex and dynamic TD businesses and legal entities Expert knowledge of the business and operational functions supported Leads teams with multiple points of internal and external contacts Work focus time horizon is medium to long term (6 months to a year) with moderate to high focus on strategic planning Deep knowledge and understanding of businesses/technology, and organizational practices/disciplines Contact for business management, external/internal auditors, dealing with non-routine information Sound knowledge of external competition, industry and/or market trends in relation to own function/business Involves contact with cross-functional teams across TDBG and external contacts Education & Experience: Undergraduate degree or equivalent work experience 7+ years experience Preferred Skills: 3-5 years of OFAC and global sanctions experience CGSS or ACSF certification 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 FCRM Delivers subject matter expertise and AML/ATF/Sanctions/ABAC guidance to business management, including developing and maintaining management reporting and analysis Coordinates/manages the teams participation in/responses to regulatory examinations and internal/external audits, reviewing, packaging, and tracking and providing information for department executive Shareholder Accountabilities: Develops and oversees the implementation of business line policies and procedures Works closely with leaders to develop and operationalize the business plan and deliver on AML/ATF/Sanctions/ABAC programs across the enterprise Plans and executes on strategic activities, reviews, and communicates results, and adjusts tactics accordingly Proactively identifies key business opportunities, research, and recommends enhancements/modifications, develops strategies to achieve recommendations and works closely with team to execute and implement Understands TDBG issues/parameters and guides others to protect the reputation and interest of TDBG by adhering to operating standards and processes related to AML/ATF/Sanctions/ABAC Provides oversight on risk assessment processes as required Protects the interests of the organization
identifies and manages risks, and escalates non-standard, high-risk transactions/activities as necessary Keeps current on emerging issues, trends, and evolving regulatory requirements and assesses potential impacts Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite Liaises with regulatory and law enforcement agencies on AML/ATF/Sanctions/ABAC examinations and related inquiries Ensures employees are building and enhancing their knowledge and expertise; and employees assume responsibility in minimizing operational and regulatory risk by complying with Bank policy and Code of Conduct Employee/Team Accountabilities: Responsible for management of the overall team providing both leadership and guidance Contributes to the development of business line and/or enterprise functional strategic priorities within their operational area or field of specialty 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 performance objectives for the team; tracks, monitors and effectively addresses and/or rewards performance in a timely manner Manages employees in compliance with all human resources policies, procedures, and guidelines of conduct Shares knowledge, information, skills, and subject matter expertise among the team and ensures the timely communication of issues and encourages good working relationships with other functions and teams Supports an environment where team freely escalates business challenges; facilitates change 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 and equitable environment that supports a diverse workforce and encourages the team to achieve common goals and objectives Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally 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