Head of Governance and Control, AML

2 weeks ago

New York, New York, United States TD Bank, N.A. Full time

Description

:

The Head of Governance and Control, AML, Consumer a leadership role focused on creating an end-to-end 1B Governance & Control function for AMCB AML to support the Consumer business with AML 1B standards, requirements and controls on a centralized basis. Primary accountabilities include:

• Oversight/challenge of established controls on the execution of policies/procedures and process that the 1A teams within the Consumer business will need to implement, including remediation of issues, control and process testing and management of exams

• Supports the Consumer business on remediating issues/findings from control activities and provides guidance on monitoring/reporting and manages escalation to the second line as needed to support efficient communication of issues

• Leadership of AMCB AML 1B function and build of long-term strategic roadmap to enhance and create a best-in-class AML Governance and Control Function

• Business input to AML Risk and risk appetite statement measurement

• Escalation/reporting of AML Risk matters to AFC , governance committees, including Board

• Responses to regulatory and internal audit findings from internal and external US regulators

• Monitors AMCB AML compliance to corporate and regulatory requirements for AML process, procedure and controls

• Escalation and notification protocols for actual or potential risks/events pertaining to 1st line AML

Depth & Scope:

Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required Leads large and complex initiatives to identify and assess risks and control, develop strategies to remediate gaps identified, and implement processes to effectively manage and mitigate risk Drives a strong governance and internal control environment and perform effective challenge by executing on enterprise control and governance frameworks, including (but not limited to) pRCSA standards, regulatory compliance policies and standards, model risk management, and end user computing standards Proactively identifies opportunities to strengthen and improve processes and controls, and ensure the Consumer business operates within the Bank's risk appetite Promotes awareness, understanding and ownership of operational/regulatory risk, key risk drivers and mitigation strategies within Consumer teams Thoroughly understand first line requirements and execution of commitments for KYC Consumer Maintains in-depth knowledge of the Consumer business to include Consumer Banking Products, Wealth Products and Store Distribution process inclusive of Teller, CSR, Store Manager processes and corresponding AML requirements that meet regulatory expectations with KYC customer due diligence, high risk customer monitoring, beneficial ownership, critical data elements capture prior to onboarding Thoroughly understands ACH risk, wires risk, remote deposit capture and online account opening under CP&S Identifies, sizes, and implements operational and continuous improvements to business processes to maximize efficiencies and scale/grow capabilities and teams to meet business needs Provides leadership team with information, reporting and support to ensure operational risks are appropriately managed and adherence to internal policies and procedures is effective Maintains a comprehensive understanding of existing and emerging regulatory requirements, operational processes, inherent risks, and ORM policies & practices to provide tailored advice and counsel to the Consumer business Ensures an integrated and aggregated view of all related activities across the Consumer business, providing escalations, recommendations, and decision support to leadership As a trusted advisor to internal business partners, recognize and anticipate emerging trends, identify issues/opportunities, and recommend actions to senior management

Education & Experience:

4 Year Degree or equivalent experience 15+ years of related experience in financial crimes with a focus on AML, know your customer (KYC) and end-to-end customer lifecycle management. Familiarity with related Laws, Rules, Regs and/or similar experience preferred Management and employee development experience and skills required PC Skills/Experience with MS Office Suite Demonstrated ability to oversee/manage multiple initiatives, projects or tasks that are often spread over a lengthy time continuum and/or are complex and multi-faceted Must be skilled in scheduling/delegating activities and prioritizing accountabilities, projects and tasks to ensure proper resourcing to satisfy established deadlines Must possess high level analytical skills and the ability to think strategically as well as tactically Excellent relationship management skills required, including the ability to mediate in difficult situations and influence outcomes in a respectful, professional and effective manner Exhibits strong decision making abilities and follows through on assigned tasks Must possess excellent communication and presentation skills Must be willing to travel throughout company footprint

Who We Are:
TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing – and so will you.

Our Total Rewards Package

Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition.

Additional Information:
We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development
If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we're committed to helping you identify opportunities that support your goals.

Training & Onboarding
We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.

Interview Process
We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation

If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at . Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

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