Dir. Princ., Opérations, Lcba - Toronto, Canada - TD Bank

TD Bank
TD Bank
Verified Company
Toronto, Canada

1 month ago

Sophia Lee

Posted by:

Sophia Lee

beBee Recruiter
Description

Work Location:

Toronto, Ontario, Canada


Hours:

37.5


Line of Business:

Financial Crime Risk Management


Pay Details:


Additionally, the Senior Manager oversees and manages the control activities of the High Risk Customer Program as well as a team of Group Managers and AML Financial Crime Investigators who are responsible for conducting EDD of various customers who have been deemed high risk, mitigation of risk such as recommendation to demarket/exit relationships, timely and/or without delay regulatory reporting of potential money laundering and terrorist financing activities.CUSTOMER**-
Provide support to the AVP with the oversight and management of the High Risk Customer Program focusing on MSBs including Principals, Branches and Agents, Ministerial Directives, and other specialized types of high risk customers
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Provide guidance, direction, oversee and lead a team of Group Managers and AML Financial Crime Investigators who conduct EDD of high risk customers as well as other AML Financial Crime Investigators tasked with conducting maker/checkers and/or quality controls while promoting a culture of compliance and an environment of ongoing employee development and feedback
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Ensure investigations, initial and periodic reviews of high risk customers are risk assessed, reviewed, and assigned on a risk based prioritization approach and timely manner
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Provide oversight of the investigations, initial and periodic reviews of high risk customers in accordance with the prescribed timelines including internal controls, procedures, and regulatory requirements
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Ensure the regulatory reporting is conducted in a timely manner and/or without delay while adhering to regulatory requirements and internal controls
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Ensures that other ongoing activities are performed according to established policies and procedures
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Provide oversight and ongoing reporting to the AVP, stakeholders and committees on the status of the High Risk Customer Program
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Provide assistance and support with the management of the High Risk Customer Program including assessment of risk, design of controls, processes, procedures, training, and ongoing development of personnel of the High Risk Customer Program
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Ensure controls are designed appropriately and operating effectively to mitigate risk and compliance with internal controls as well as regulatory requirements
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Support and assist the AVP with deliverables, initiatives and projects to maintain effective high risk customer program
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Lead a team of specialized professionals and managers ensuring key elements of financial crime risk management such as prevention, detection, investigation, and remediation are effectively managed:

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Oversee and/or lead complex investigations by conducting thorough analysis:

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Ensure investigations comply with all aspects of applicable regulatory requirements:

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Ensure escalated cases/files are properly reviewed and appropriately assigned and that all stakeholders are notified as applicable:

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Identify key control weaknesses and work with business partners to agree on action items and next steps:

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Develop supporting internal/ external communications, including court briefs, as well as investigative reports to appropriate internal stakeholders:

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Provide guidance, education and/or oversight to relevant businesses/stakeholders
and determine root cause of breaches for prevention purposes:

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Keep abreast of emerging trends or new techniques for own area of specialty:

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Maintain strong understanding of legislation and/or regulations as they relate to own area and ensure investigative processes adhere to established guidelines:

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Maintain and develop reliable information sources/contacts and liaise with law enforcement, regulators, and internal business areas for the purpose of gathering intelligence and establishing effective partnerships:

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Provide expert counsel, guidance, and assistance to executive management, domestic and/or international business lines on all known or suspected internal/external crime where applicable:

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Represent TDBG on internal and/or external committees or associations

SHAREHOLDER
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Work closely with key business leaders to develop business plan, ensuring the optimal use of resources and leverage TD's operating model to maximize efficiency, effectiveness, and scale:

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Maintain effective relationship with stakeholders for input and coordination with the management of the effective High Risk Customer Program
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Plan and execute on strategic activities, review, and communicate results, and adjust tactics accordingly:

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Execute on the annual business plan to deliver results aligned with business strategies:

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Manage overall budget, revenue, and expenditures, meet business objectives while increasing efficiency and effectiveness:

- **Proactively identify key business
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