Group Manager, Aml Financial Crime Risk - Toronto, Canada - TD Bank

TD Bank

Verified Company

Toronto, Canada

1 week ago

Posted by:

Sophia Lee

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Description

Work Location:

Toronto, Ontario, Canada

Hours:

37.5

Line of Business:

Financial Crime Risk Management

Pay Details:

Manage/lead a team of specialized professionals in the analysis and/or the investigation process for a specific area and assigns and monitors caseloads to ensure potential regulatory risks and losses to the bank are minimized.

Additionally, Group Manager oversees and manages the control activities of the High Risk Customer Program as well as a team of 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 Senior Manager and the AVP with the oversight and management of the High Risk Customer Program focusing on MSBs including Principals, Branches and Agents
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Provide guidance, direction, oversee and lead a team of 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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Lead a team of AML Financial Crime Investigators who conduct EDD
to achieve business / operational objectives, maintain effective day-to-day operations and deliver quality service and transaction processing consistent with business objectives:

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Review and assess incoming files and allocate to appropriate Investigators/Investigative
Specialists:

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Conduct investigations in the capacity of a working lead where cases have been specifically assigned ensuring proper analysis and investigation standards are followed:

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Prepare applicable documents based on criminal and/or non-criminal proceedings:

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Collaborate with counterparts from other institutions and/or external organizations (e.g., public sector, government, law enforcement) to gather intelligence information where necessary:

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Ensure investigations are professionally conducted and completed in a timely manner:

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Identify and communicate procedural weaknesses to businesses and ensure processes for remediation are in place such as following up for corrective action where applicable:

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Maintain strong awareness of emerging trends and investigative techniques for own area of specialty:

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Represent the department on internal projects/committees for own specialized area as necessary

SHAREHOLDER
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Contribute to the development of the business plan, operationalize the plan and deliver on assigned service/functionality**:

Work 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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Monitor and communicate effectiveness of strategies, programs, and practices related to own area of accountability:

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Ensure programs, policies and practices continue to meet business needs, comply with internal and external requirements, and align with business priorities:

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Proactively identify key business opportunities, research and recommend enhancements/ modifications, develop strategies to achieve recommendations:

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Coordinate activities with partners across the organization, may include HR, Technology, Finance, Risk Mgmt
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Ensure team operates in compliance with applicable internal and external requirements, and employees comply with Bank and industry codes of conduct:

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Ensure appropriate reporting and escalation of issues based on risk profile:

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Lead relationships with business lines / corporate and/or control functions to ensure alignment with enterprise and/or regulatory requirements:

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Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts:

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Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite

EMPLOYEE / TEAM
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Responsible for management of the overall team providing both leadership and guidance:

- **Set targets and objectiv