TD Securities
Overview
Position:
Director, Global Markets Oversight, US FCRM TDS Business Oversight
Reports to:
AVP, Head of FCRM Oversight, TD Securities, US
Location:
New York, New York, United States of America
Hours:
40 per week
Line of Business:
TD Securities
Pay Detail:
$150,000 - $190,000 USD
Responsibilities
Design, implement, enhance and maintain the TD U.S. FCRM program.
Advise TD Operations and other 1st line support functions on interpretation of and compliance with applicable financial crime laws, regulations, and guidance.
Provide oversight of, and credible challenge to, the first line of defense.
Provide customized training to ensure that employees remain informed about changes in financial crime regulations and emerging money laundering typologies.
Assess and opine on financial crime risks of new products and mandates.
The Director, Global Markets Oversight, is responsible for supporting the firm’s FCRM program and plays a key role within U.S. FCRM TDS Business Oversight.
Demonstrate governance, control and risk management behaviors aligned with TD policies and practices.
Lead US FCRM TDS Business Oversight efforts, providing advisory and oversight for the Global Markets business within TD Securities, US.
Support the AVP, Head of TDS US FCRM in assessing financial crimes-related risks within the Global Markets business, considering the people, process, data, system and policy impacts.
Provide advice to the business on AML requirements across customers, products and transactions.
Provide oversight and challenge to first-line financial crime-related activities.
Coordinate with other US and global FCRM teams, business and operations stakeholders, and risk and audit partners to ensure successful delivery of program requirements.
Assist with regulatory and audit requests.
Provide backup to general AML compliance functions as needed.
Qualifications / Experience
Excellent verbal and written communicator with detailed oriented nature and strong editing skills.
Bachelor’s degree required (exceptional candidates demonstrating an equivalent combination of relevant education and experience will be considered).
Graduate level study preferred.
10 or more years of knowledge and experience in AML compliance including within Wholesale financial services, preferably with a major US financial institution.
Must be an expert in all aspects of financial crime risks and controls across a range of Global Markets activity, to include equities, fixed income, foreign exchange, commodities, and derivatives.
Strong preference for candidates with experience of transformation or other change initiatives.
Demonstrated knowledge of and experience overseeing transaction banking products is highly desirable.
Ability to identify and evaluate potential risks to the Firm and escalate accordingly.
Strong project management and strategic thinking skills.
Proficiency with Microsoft Word, Excel and PowerPoint.
Education & Experience
Undergraduate degree
10+ years relevant experience
Customer Accountabilities
Provides strategic direction on a broad and diverse range of complex AML/Sanctions/ABAC program activities
Determines and decides policy and/or action based on internal and external industry developments for AML Programs
Proactively advises the business of new and changed AML regulatory and/or policy changes and articulates the impact to their processes and controls
Contributes to the development and implementation of AML Compliance programs related to all aspects of AML and ATF laws
Shareholder Accountabilities
Develops and oversees the implementation of business line policies and DGAMLO team procedures
Works closely with leaders to develop and operationalize the business plan and deliver on AML/ATL/Sanctions/ABAC programs across the enterprise
Plans and executes on strategic activities, reviews and communicates results and adjusts tactics accordingly
Physical Requirements
Domestic Travel – Occasional
International Travel – Occasional
Performing sedentary work – Continuous
Performing multiple tasks – Continuous
Operating standard office equipment - Continuous
Reading, writing and comprehending instructions – Continuous
EEO and 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 USWAPTDO@td.com. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.
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Director, Global Markets Oversight, US FCRM TDS Business Oversight
Reports to:
AVP, Head of FCRM Oversight, TD Securities, US
Location:
New York, New York, United States of America
Hours:
40 per week
Line of Business:
TD Securities
Pay Detail:
$150,000 - $190,000 USD
Responsibilities
Design, implement, enhance and maintain the TD U.S. FCRM program.
Advise TD Operations and other 1st line support functions on interpretation of and compliance with applicable financial crime laws, regulations, and guidance.
Provide oversight of, and credible challenge to, the first line of defense.
Provide customized training to ensure that employees remain informed about changes in financial crime regulations and emerging money laundering typologies.
Assess and opine on financial crime risks of new products and mandates.
The Director, Global Markets Oversight, is responsible for supporting the firm’s FCRM program and plays a key role within U.S. FCRM TDS Business Oversight.
Demonstrate governance, control and risk management behaviors aligned with TD policies and practices.
Lead US FCRM TDS Business Oversight efforts, providing advisory and oversight for the Global Markets business within TD Securities, US.
Support the AVP, Head of TDS US FCRM in assessing financial crimes-related risks within the Global Markets business, considering the people, process, data, system and policy impacts.
Provide advice to the business on AML requirements across customers, products and transactions.
Provide oversight and challenge to first-line financial crime-related activities.
Coordinate with other US and global FCRM teams, business and operations stakeholders, and risk and audit partners to ensure successful delivery of program requirements.
Assist with regulatory and audit requests.
Provide backup to general AML compliance functions as needed.
Qualifications / Experience
Excellent verbal and written communicator with detailed oriented nature and strong editing skills.
Bachelor’s degree required (exceptional candidates demonstrating an equivalent combination of relevant education and experience will be considered).
Graduate level study preferred.
10 or more years of knowledge and experience in AML compliance including within Wholesale financial services, preferably with a major US financial institution.
Must be an expert in all aspects of financial crime risks and controls across a range of Global Markets activity, to include equities, fixed income, foreign exchange, commodities, and derivatives.
Strong preference for candidates with experience of transformation or other change initiatives.
Demonstrated knowledge of and experience overseeing transaction banking products is highly desirable.
Ability to identify and evaluate potential risks to the Firm and escalate accordingly.
Strong project management and strategic thinking skills.
Proficiency with Microsoft Word, Excel and PowerPoint.
Education & Experience
Undergraduate degree
10+ years relevant experience
Customer Accountabilities
Provides strategic direction on a broad and diverse range of complex AML/Sanctions/ABAC program activities
Determines and decides policy and/or action based on internal and external industry developments for AML Programs
Proactively advises the business of new and changed AML regulatory and/or policy changes and articulates the impact to their processes and controls
Contributes to the development and implementation of AML Compliance programs related to all aspects of AML and ATF laws
Shareholder Accountabilities
Develops and oversees the implementation of business line policies and DGAMLO team procedures
Works closely with leaders to develop and operationalize the business plan and deliver on AML/ATL/Sanctions/ABAC programs across the enterprise
Plans and executes on strategic activities, reviews and communicates results and adjusts tactics accordingly
Physical Requirements
Domestic Travel – Occasional
International Travel – Occasional
Performing sedentary work – Continuous
Performing multiple tasks – Continuous
Operating standard office equipment - Continuous
Reading, writing and comprehending instructions – Continuous
EEO and 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 USWAPTDO@td.com. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.
#J-18808-Ljbffr