TD Bank
Program Manager, Presentations & Reporting, Financial Crime
TD Bank, Mount Laurel, New Jersey, United States, 08054
Financial Crime Risk Specialist
The Financial Crime Risk Specialist role develops and maintains TD's AML/ATF/Sanctions/ABAC programs, including frameworks, methodologies, policies, standards, procedures, awareness and specialized training, monitoring, management reporting and/or escalation of issues. This role conducts periodic and event driven reviews of customers, including targeted reviews to assess risks. Additionally, this role supports management in delivery of initiatives related to risk assessment, internal/external exam support, etc. Depth & Scope: Highly seasoned professional role requiring substantial knowledge / expertise in a complex field and knowledge of broader related areas Integrates knowledge of the sub-functions overarching strategy in developing solutions across multiple functions or operations Interprets internal / external business challenges and the industry environment, recommends course of action and best practices to improve products, processes or services Acts as a technical expert / lead integrating cross-function understanding within their own field of specialty Leads cross-functional teams or projects with significant resource requirements, risk and/or complexity Independently manages end-to-end functional programs Solves or may lead others to solve complex problems; leads efforts or partners with others to develop new solutions Uses sophisticated analytical thought to exercise judgement and identify solutions Impacts the achievement of sub-function or business line objectives within the area they are accountable for Work is guided by policies and industry standards/methods Communicates difficult concepts; converts information to compelling business context and advice; influences and gains alignment across increasingly senior stakeholders Works autonomously as the lead and guides others within area of expertise Preferred Qualifications: Strong proficiency in PowerPoint and presentation development Excellent attention to detail and organization skills Strong writing skills with the ability to produce clear and concise narratives Education & Experience: Undergraduate degree or equivalent work experience 7+ years experience Customer Accountabilities: Leads the development of team procedures and governance processes and advises FCRM stakeholders and teams of changes and enhancements to enterprise FCRM programs and requirements and where they may impact in the organization Works with FCRM partners and other related groups (such as Compliance, Legal and Risk etc.) to support creation of documentation and reports required by external regulatory bodies and TD internal groups Conducts research, assesses FCRM risks and controls, and otherwise contributes to a specialized team of FCRM compliance professionals, interacting with key stakeholders Provides governance oversight through management of the policy and training exemption governance and reporting processes to the FCRM Senior Executive Team (and related FCRM Sub-Committees) Prepares summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of the FCRM program Represents FCRM as a specialist on internal or external committees as well as on enterprise-wide Regulatory Change Management initiatives, as required Delivers relevant subject matter expertise and FCRM advice to business / FCRM partners Interacts with control functions within the organization Develops and delivers training programs for applicable employees across the Bank Conducts meaningful research, analysis, and assessment of FCRM program activities at the functional level using results to draw conclusions, make recommendations, assess the effectiveness of enterprise FCRM programs Prepares research, analysis, updates tools and/or supports training activities specific to risk assessment Leads development of processes, procedures and guidance relevant to own specific FCRM function of expertise Shareholder Accountabilities: Provides high quality service and advice to key business (FCRM) partners and monitors progress of initiatives, action plans, or similar activities Protects the interests of the organization
identifies and manages risks, and ensures the prompt and thorough resolution of escalated non-standard, high-risk issues Delivers relevant subject matter expertise and FCRM advice to business (FCRM) partners Leads new or revised product initiatives, advises businesses on FCRM compliance requirements and ensures that those requirements are properly written into requirements for business projects Participates in FCRM level projects as needed, to facilitate and oversee changes to FCRM processes, systems, or practices Coordinates with other FCRM partners and business compliance partners to ensure consistency in the application of FCRM programs and standards across the enterprise Ensures relevant FCRM programs align with TD corporate philosophy and strategic direction Monitors FCRM industry developments and maintains strong knowledge of evolving regulatory requirements and assesses potential impacts Proactively identifies key business opportunities, researches and recommends enhancements / modifications, develops strategies to achieve recommendations Leads relationships with business lines / corporate and/or control functions to ensure alignment with enterprise and/or regulatory requirements Leads or contributes to cross-functional / enterprise initiatives as an organizational or subject matter expert helping to identify risk/ provide guidance for complex situations Complies with applicable internal and external audit and regulatory requirements and may actively provide support during Audit and Regulatory Reviews, providing recommendations and guidance as required Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite Participates in responding to periodic exams/audits by regulatory bodies and Internal Audit, to determine level of BSA/FCRM compliance Employee/Team Accountabilities: Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues / points of interest Provides thought leadership and/or industry knowledge for own area of expertise in own area and participates in knowledge transfer within the team and business unit Shares knowledge of the business, related tools and techniques Leads or participates in personal performance management and development activities, including cross training within own team Keeps others informed and up to date about the status / progress of projects and/or all relevant or useful information related to day-to-day activities Contributes to the success of the team by assisting others in the completion and performance of work activities, provides coaching and/or guidance as appropriate Contributes to a fair, positive and equitable environment that supports a diverse workforce Acts as a brand champion for the 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 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 Add
The Financial Crime Risk Specialist role develops and maintains TD's AML/ATF/Sanctions/ABAC programs, including frameworks, methodologies, policies, standards, procedures, awareness and specialized training, monitoring, management reporting and/or escalation of issues. This role conducts periodic and event driven reviews of customers, including targeted reviews to assess risks. Additionally, this role supports management in delivery of initiatives related to risk assessment, internal/external exam support, etc. Depth & Scope: Highly seasoned professional role requiring substantial knowledge / expertise in a complex field and knowledge of broader related areas Integrates knowledge of the sub-functions overarching strategy in developing solutions across multiple functions or operations Interprets internal / external business challenges and the industry environment, recommends course of action and best practices to improve products, processes or services Acts as a technical expert / lead integrating cross-function understanding within their own field of specialty Leads cross-functional teams or projects with significant resource requirements, risk and/or complexity Independently manages end-to-end functional programs Solves or may lead others to solve complex problems; leads efforts or partners with others to develop new solutions Uses sophisticated analytical thought to exercise judgement and identify solutions Impacts the achievement of sub-function or business line objectives within the area they are accountable for Work is guided by policies and industry standards/methods Communicates difficult concepts; converts information to compelling business context and advice; influences and gains alignment across increasingly senior stakeholders Works autonomously as the lead and guides others within area of expertise Preferred Qualifications: Strong proficiency in PowerPoint and presentation development Excellent attention to detail and organization skills Strong writing skills with the ability to produce clear and concise narratives Education & Experience: Undergraduate degree or equivalent work experience 7+ years experience Customer Accountabilities: Leads the development of team procedures and governance processes and advises FCRM stakeholders and teams of changes and enhancements to enterprise FCRM programs and requirements and where they may impact in the organization Works with FCRM partners and other related groups (such as Compliance, Legal and Risk etc.) to support creation of documentation and reports required by external regulatory bodies and TD internal groups Conducts research, assesses FCRM risks and controls, and otherwise contributes to a specialized team of FCRM compliance professionals, interacting with key stakeholders Provides governance oversight through management of the policy and training exemption governance and reporting processes to the FCRM Senior Executive Team (and related FCRM Sub-Committees) Prepares summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of the FCRM program Represents FCRM as a specialist on internal or external committees as well as on enterprise-wide Regulatory Change Management initiatives, as required Delivers relevant subject matter expertise and FCRM advice to business / FCRM partners Interacts with control functions within the organization Develops and delivers training programs for applicable employees across the Bank Conducts meaningful research, analysis, and assessment of FCRM program activities at the functional level using results to draw conclusions, make recommendations, assess the effectiveness of enterprise FCRM programs Prepares research, analysis, updates tools and/or supports training activities specific to risk assessment Leads development of processes, procedures and guidance relevant to own specific FCRM function of expertise Shareholder Accountabilities: Provides high quality service and advice to key business (FCRM) partners and monitors progress of initiatives, action plans, or similar activities Protects the interests of the organization
identifies and manages risks, and ensures the prompt and thorough resolution of escalated non-standard, high-risk issues Delivers relevant subject matter expertise and FCRM advice to business (FCRM) partners Leads new or revised product initiatives, advises businesses on FCRM compliance requirements and ensures that those requirements are properly written into requirements for business projects Participates in FCRM level projects as needed, to facilitate and oversee changes to FCRM processes, systems, or practices Coordinates with other FCRM partners and business compliance partners to ensure consistency in the application of FCRM programs and standards across the enterprise Ensures relevant FCRM programs align with TD corporate philosophy and strategic direction Monitors FCRM industry developments and maintains strong knowledge of evolving regulatory requirements and assesses potential impacts Proactively identifies key business opportunities, researches and recommends enhancements / modifications, develops strategies to achieve recommendations Leads relationships with business lines / corporate and/or control functions to ensure alignment with enterprise and/or regulatory requirements Leads or contributes to cross-functional / enterprise initiatives as an organizational or subject matter expert helping to identify risk/ provide guidance for complex situations Complies with applicable internal and external audit and regulatory requirements and may actively provide support during Audit and Regulatory Reviews, providing recommendations and guidance as required Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite Participates in responding to periodic exams/audits by regulatory bodies and Internal Audit, to determine level of BSA/FCRM compliance Employee/Team Accountabilities: Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues / points of interest Provides thought leadership and/or industry knowledge for own area of expertise in own area and participates in knowledge transfer within the team and business unit Shares knowledge of the business, related tools and techniques Leads or participates in personal performance management and development activities, including cross training within own team Keeps others informed and up to date about the status / progress of projects and/or all relevant or useful information related to day-to-day activities Contributes to the success of the team by assisting others in the completion and performance of work activities, provides coaching and/or guidance as appropriate Contributes to a fair, positive and equitable environment that supports a diverse workforce Acts as a brand champion for the 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 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 Add