TD
Overview Position: Director, Global Markets Oversight, US FCRM TDS Business Oversight
Find out more about the daily tasks, overall responsibilities, and required experience for this opportunity by scrolling down now. Reports to: AVP, Head of FCRM Oversight, TD Securities, US Location: New York, New York, États-Unis d'Amérique Pay: $150,000 - $190,000 USD Hours: 40 Line Of Business: Valeurs Mobilières TD Summary: 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, partnering 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. Note: The base pay may vary based on candidate skills, experience, location, and business needs. Applicants are encouraged to discuss compensation with the recruiter. Disclosures: TD is committed to fair and equitable compensation opportunities. TD Bank is an equal opportunity employer. Details on accommodations for applicants with disabilities are provided in the original posting. Total Rewards, Training & Onboarding, and Interview Process information are included in the posting text. End of overview. Responsibilities
Design, implement, enhance and maintain the TD S America 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, Global Markets 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 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/Skills/Experience Excellent verbal and written communicator with detailed oriented nature and strong editing skills. Bachelor’s degree required (exceptional candidates with equivalent experience considered). Graduate level study preferred. 10+ years of AML compliance experience, including Wholesale financial services, preferably with a major US financial institution. Expertise in financial crime risks and controls across equities, fixed income, foreign exchange, commodities, and derivatives. Strong preference for candidates with transformation or change initiative experience. Experience overseeing transaction banking products is highly desirable. Ability to identify and escalate potential risks to the Firm. Strong project management and strategic thinking skills. Proficiency with Microsoft Word, Excel and PowerPoint. Other Information
The AML Advisory job family consists of GAML teams that advise on AML/ATF matters and oversee policy implementation. Depth & Scope includes leadership of AML/ATF programs, interaction with senior management, risk planning, and regulatory examinations. Education: Undergraduate degree; 10+ years relevant experience. Customer Accountabilities and Shareholder Accountabilities describe strategic direction, policy development, risk management, and enterprise-wide AML program support. Physical Requirements: travel and office tasks as detailed in the posting. End of content for the core role information. About TD Securities & Benefits
TD Securities offers capital markets products and services to corporate, government, and institutional clients; global presence with TD’s acquisition of Cowen Inc. in 2023. Our Total Rewards package includes base salary, incentive awards, benefits, PTO, and development opportunities. TD is an equal opportunity employer and provides accommodations on request. Additional Information
We encourage regular development conversations, training programs, and mentoring to support career growth. Interview process details and accommodations information are provided in the posting.
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Find out more about the daily tasks, overall responsibilities, and required experience for this opportunity by scrolling down now. Reports to: AVP, Head of FCRM Oversight, TD Securities, US Location: New York, New York, États-Unis d'Amérique Pay: $150,000 - $190,000 USD Hours: 40 Line Of Business: Valeurs Mobilières TD Summary: 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, partnering 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. Note: The base pay may vary based on candidate skills, experience, location, and business needs. Applicants are encouraged to discuss compensation with the recruiter. Disclosures: TD is committed to fair and equitable compensation opportunities. TD Bank is an equal opportunity employer. Details on accommodations for applicants with disabilities are provided in the original posting. Total Rewards, Training & Onboarding, and Interview Process information are included in the posting text. End of overview. Responsibilities
Design, implement, enhance and maintain the TD S America 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, Global Markets 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 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/Skills/Experience Excellent verbal and written communicator with detailed oriented nature and strong editing skills. Bachelor’s degree required (exceptional candidates with equivalent experience considered). Graduate level study preferred. 10+ years of AML compliance experience, including Wholesale financial services, preferably with a major US financial institution. Expertise in financial crime risks and controls across equities, fixed income, foreign exchange, commodities, and derivatives. Strong preference for candidates with transformation or change initiative experience. Experience overseeing transaction banking products is highly desirable. Ability to identify and escalate potential risks to the Firm. Strong project management and strategic thinking skills. Proficiency with Microsoft Word, Excel and PowerPoint. Other Information
The AML Advisory job family consists of GAML teams that advise on AML/ATF matters and oversee policy implementation. Depth & Scope includes leadership of AML/ATF programs, interaction with senior management, risk planning, and regulatory examinations. Education: Undergraduate degree; 10+ years relevant experience. Customer Accountabilities and Shareholder Accountabilities describe strategic direction, policy development, risk management, and enterprise-wide AML program support. Physical Requirements: travel and office tasks as detailed in the posting. End of content for the core role information. About TD Securities & Benefits
TD Securities offers capital markets products and services to corporate, government, and institutional clients; global presence with TD’s acquisition of Cowen Inc. in 2023. Our Total Rewards package includes base salary, incentive awards, benefits, PTO, and development opportunities. TD is an equal opportunity employer and provides accommodations on request. Additional Information
We encourage regular development conversations, training programs, and mentoring to support career growth. Interview process details and accommodations information are provided in the posting.
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