COMPLIANCE OFFICER III
TD Bank Group
Toronto, Canada
24d ago

TD Description

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Department Overview The TDBG Global AML Compliance Department is accountable for establishing TDBG’s Global Anti-Money Laundering and Anti-

Terrorist Financing Program (AML / ATF) to ensure that all TDBG businesses remain compliant with AML / ATF regulatory expectations in all jurisdictions where TDBG operates.

  • This includes setting consistent standards across business segments that may be further tailored to specific business or jurisdictional requirements;
  • conducting annual enterprise-wide AML risk assessments; maintaining the Global AML Policy (including Know Your Customer and Enhanced Due Diligence, record keeping & retention requirements);
  • currency transaction and suspicious transaction monitoring and reporting; screening TDBG customers against regulatory watch lists;
  • a hierarchy of designated AML officer functions; enterprise-wide and specialized AML training of employees; and independent AML testing Job Type Regular Job Status Full Time Hours 8 : 30-

    5 pm (flexible) Mon-Fri Business line Other Job Category - Primary Anti-Money Laundering Compliance & Regulatory Relations Job Category(s) Anti-

    Money Laundering Compliance & Regulatory Relations Job Description Job Description / Accountabilities :

    The Compliance Officer III, Deputy Head AML WIIC position reports functionally to the Senior Manager. The AML Compliance Officer III conducts reviews and analysis of business level AML / ATF programs, including policies and procedures development, monitoring, reporting, and escalation of issues and events, conducts research, assesses AML / ATF risks and controls, and otherwise contributes to a specialized team of AML / ATF compliance professionals, providing coverage for both TDS and the Corporate Segment

    This position develops subject matter expertise and acquires strong business and organizational knowledge so as to apply AML / ATF expertise to advise businesses on routine and specialized AML / ATF questions, and develops strategies and tactics that support AML / ATF compliance objectives in the business.

    The AML Compliance Officer III also participates in compliance initiatives, projects, working groups, industry groups as assigned.

    Key Accountabilities include :

  • Ensure that AML / ATF issues and events are reported and escalated in a timely manner.
  • Conduct AML risk and control assessments for Corporate Segment business units as assigned.
  • Assist in managing and overseeing key elements of business level AML / ATF compliance program for Corporate Segment business units and TDS
  • Manage assigned relationships and collaborate with business level management, other compliance groups, and / or other stakeholders to effect solutions to AML / ATF issues and events.
  • Act as a key contact for specific business processes, projects, or procedures.
  • Provide high quality service and advice to key business partners and monitor progress of business initiatives, action plans, or similar activities.
  • Act on direction of AML / ATF management to fulfill objectives and priorities in a timely manner.
  • Ensure relevant AML program activities align with TD corporate philosophy and strategic direction
  • Job Requirements Qualifications / Skills / Experience :

  • Strong subject matter knowledge of AML / ATF requirements.
  • Knowledge of risk assessment processes.
  • Strong business unit and organizational knowledge with a proven ability to work effectively in a cross-functional environment.
  • Ability to work effectively in an extremely fast paced environment, to think creatively, and apply knowledge to problem-
  • solving an issues resolution.

  • Strong interpersonal skills, collaborative skills and experience partnering with business units; proven team player.
  • Superior writing skills with the ability to draft high quality reports, policies, manuals, procedures, and business correspondence.
  • Effective presentation and communication skills.
  • Strong analytical skills and superior judgment.
  • Strong problem solving skills and the ability to proactively identify issues and recommend solutions.
  • Proficiency with Microsoft Word, Excel, and Powerpoint.
  • Prior experience working in an AML / ATF regulatory, risk, legal, or compliance role an asset.
  • Prior experience working in a corporate office environment (e.g. audit, finance, etc) and / or TDS an asset
  • Additional Information Specific Educational Requirements / Accreditations :

  • Bachelor’s degree or other post-secondary education highly desired.
  • CAMS designation an asset Inclusiveness

    At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported.

    We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live and serve.

    If you require an accommodation for the recruitment / interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.

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