TD
Overview
Director, Corporate & Investment Banking Oversight — TD Securities, US Reports to: AVP, Head of FCRM Oversight, TD Securities, US Location and Details
Work Location : New York, NY, United States Hours : 40 Line Of Business : Valeurs Mobilières TD Pay Detail : $160,000 - $190,000 USD Job Description
The U.S. FCRM TDS Business Oversight team supports TD Securities in developing, implementing, and maintaining a robust financial crime risk management (FCRM) program that meets regulatory requirements and mitigates financial crime risk. This involves providing guidance on regulatory compliance, close partnership with business and legal, and operationalizing requirements and regulations for the Wholesale business. The team provides oversight and advice across the full spectrum of TDS customers, products, transactions, and FCRM-related processes. The team mandate includes regulatory compliance, program remediation, risk management, and program development. Key components are: Design, implement, enhance and maintain the TDs U.S. FCRM program. Advise TDS 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 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, Corporate & Investment Banking Oversight, is responsible for supporting the firm’s FCRM program and plays a key role within U.S. FCRM TDS Business Oversight. Primary Duties Include
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 Corporate & Investment Banking business within TD Securities, US. Support the AVP, Head of TDS US FCRM in assessing financial crimes-related risks within the US CIB business, considering 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/Skills/Experience
Excellent verbal and written communicator with detailed oriented nature and strong editing skills. Bachelor’s degree required (exceptional candidates with equivalent experience will be considered). Graduate level study preferred. 10+ years of AML compliance experience, including Wholesale financial services, preferably with a large financial institution. Strong subject matter knowledge of financial crime risks and controls relating to corporate and investment banking, with preference for transformation/change experience. Experience overseeing transaction banking products is highly desirable. Ability to identify and evaluate potential risks and escalate accordingly. Strong project management and strategic thinking skills. Proficiency with Microsoft Word, Excel and PowerPoint. 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 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. Employer Information
TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients. Our Total Rewards Package includes base salary and incentive plans, health and well-being benefits, retirement programs, paid time off, and career development opportunities. We are committed to supporting colleagues in work and home life.
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Director, Corporate & Investment Banking Oversight — TD Securities, US Reports to: AVP, Head of FCRM Oversight, TD Securities, US Location and Details
Work Location : New York, NY, United States Hours : 40 Line Of Business : Valeurs Mobilières TD Pay Detail : $160,000 - $190,000 USD Job Description
The U.S. FCRM TDS Business Oversight team supports TD Securities in developing, implementing, and maintaining a robust financial crime risk management (FCRM) program that meets regulatory requirements and mitigates financial crime risk. This involves providing guidance on regulatory compliance, close partnership with business and legal, and operationalizing requirements and regulations for the Wholesale business. The team provides oversight and advice across the full spectrum of TDS customers, products, transactions, and FCRM-related processes. The team mandate includes regulatory compliance, program remediation, risk management, and program development. Key components are: Design, implement, enhance and maintain the TDs U.S. FCRM program. Advise TDS 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 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, Corporate & Investment Banking Oversight, is responsible for supporting the firm’s FCRM program and plays a key role within U.S. FCRM TDS Business Oversight. Primary Duties Include
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 Corporate & Investment Banking business within TD Securities, US. Support the AVP, Head of TDS US FCRM in assessing financial crimes-related risks within the US CIB business, considering 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/Skills/Experience
Excellent verbal and written communicator with detailed oriented nature and strong editing skills. Bachelor’s degree required (exceptional candidates with equivalent experience will be considered). Graduate level study preferred. 10+ years of AML compliance experience, including Wholesale financial services, preferably with a large financial institution. Strong subject matter knowledge of financial crime risks and controls relating to corporate and investment banking, with preference for transformation/change experience. Experience overseeing transaction banking products is highly desirable. Ability to identify and evaluate potential risks and escalate accordingly. Strong project management and strategic thinking skills. Proficiency with Microsoft Word, Excel and PowerPoint. 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 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. Employer Information
TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients. Our Total Rewards Package includes base salary and incentive plans, health and well-being benefits, retirement programs, paid time off, and career development opportunities. We are committed to supporting colleagues in work and home life.
#J-18808-Ljbffr