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AVP, Financial Crimes - Governance & Controls

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TD Bank

Jul 5, 2024

Applications are closed

  • Job
    Full-time
    Mid Level
  • Banking & Finance
  • Toronto

Requirements

  • Deep expertise in Anti Money Laundering, Anti-Terrorist Financing and Sanctions
  • Strong risk acumen – challenges the status quo; has a sense of where things could go wrong and proactively manages to avoid / minimize the risks
  • Proven ability in leveraging deep risk expertise to align teams to a central vision, while also listening and engaging others to provide input in the shaping of that vision
  • Skillful communication (written and verbal) and ability to write Board level communications and reports
  • Ability to work in ambiguity and decomplexify issues; Strong work ethic and ability to execute with speed
  • Recruits top talent; manages and motivates a diverse group of professionals
  • Strong people leader who possesses the ability to effectively work in teams across the bank with multiple stakeholders and to influence and align others
  • Strong collaborator who engages colleagues, business partners and external stakeholders.
  • Demonstrates negotiation and partnership skills to balance stakeholder input but remains objective to reach the right outcome - ability to stay resilient under pressure
  • Robust organizational skills with the ability to work in a fast-paced environment and manage multiple deadlines and priorities
  • Strong knowledge of the AML regulatory environment in Canada is a requirement
  • Specific Educational Requirements:
  • Undergraduate degree required; Post Graduate degree preferred

Responsibilities

  • Governance & Controls:
  • Owns, develops and matures the Enterprise Financial Crimes Risk Management Governance and Control program including all risk types applicable to Financial Crime Risk Management. Such risk types include but is not limited to Strategic risk, operational risk, model risk, reputational risk, privacy risk, regulatory compliance risk and change initiatives
  • Owns issues management including challenging action plans, monitoring timely completion of issues, reviewing and challenging solutioning and preparing complete and accurate reporting for various stakeholders.
  • Establishes and owns the governance and oversight model for GAML Canada
  • Nurtures a risk mindset within the team
  • Develops, owns and executes the program for ongoing monitoring over the Canadian Financial Intelligence Unit
  • Develops and owns the requirements for the oversight of AML / sanctions / ABAC by first line governance & control functions contained within the Banks Governance and Control Standard
  • Participates in new risk and control initiatives deployed by TD (such as risk acceptance, heightened standards etc.)
  • Represents Financial Crimes Risk Management at various enterprise Governance and Control committees and liaises with the enterprise and control functions to align and support on TD's strategy.
  • Contributes to the strategy and long-term planning activities for Financial Crimes Risk Management
  • Fosters a continuous improvement mindset and proposes enhancements to the program informed by industry trends and best practices.
  • Anticipates emerging obstacles and proactively removes barriers to successful achievement of the program
  • Prepares various reporting for stakeholders
  • Collaborates with stakeholders as required
  • Ad hoc projects as assigned

FAQs

What is the primary responsibility of the AVP in this role?

The primary responsibility of the AVP is to oversee the AML Governance & Controls Function, specifically managing the Enterprise Financial Crimes Risk Management Governance and Control program, which includes various types of financial crime risks.

To whom does the AVP report?

The AVP reports to the Deputy Global AML Officer.

What types of risks does the AVP manage within the Governance & Controls function?

The AVP manages various risk types including strategic risk, operational risk, model risk, reputational risk, privacy risk, regulatory compliance risk, and change initiatives.

What role does the AVP play in issues management?

The AVP owns issues management by challenging action plans, monitoring the timely completion of issues, reviewing and challenging solutions, and preparing complete and accurate reports for various stakeholders.

How does the AVP contribute to the anti-money laundering (AML) and sanctions compliance within the organization?

The AVP develops and owns the requirements for oversight of AML, sanctions, and anti-bribery and corruption compliance by first-line governance and control functions in line with the Banks Governance and Control Standard.

What qualifications are necessary for this position?

The position requires deep expertise in Anti Money Laundering, Anti-Terrorist Financing, and Sanctions, along with strong risk acumen, communication skills, leadership abilities, and knowledge of the AML regulatory environment in Canada.

What educational background is preferred for the AVP position?

An undergraduate degree is required, while a post-graduate degree is preferred.

How important is collaboration and communication in this role?

Collaboration and communication are extremely important as the AVP must engage with colleagues, business partners, and external stakeholders effectively, balance stakeholder input, and communicate at the Board level.

What kind of leadership skills are expected from the AVP?

The AVP is expected to be a strong people leader who can manage and motivate a diverse team, align teams towards a central vision, and influence and collaborate with multiple stakeholders across the bank.

What approach does the AVP take towards continuous improvement?

The AVP fosters a continuous improvement mindset by proposing enhancements to the program informed by industry trends and best practices, while proactively anticipating emerging obstacles and removing barriers to achieve program goals.

What is meant by 'working in ambiguity' in the job description?

'Working in ambiguity' refers to the ability to navigate and address complex issues and uncertainties effectively while maintaining a strong work ethic and executing tasks swiftly.

Finance
Industry
10,001+
Employees

Mission & Purpose

Headquartered in Toronto, Canada, the Toronto-Dominion Bank and its subsidiaries are collectively known as TD Bank Group (TD). TD had CDN$1.9 trillion in assets on July 31, 2023. TD also ranks among the world’s leading online financial services firms, with more than 16 million active online and mobile customers. TD offers a full range of financial products and services to over 27.5 million customers worldwide through four key business lines: - Canadian Personal and Commercial Banking including TD Canada Trust, Business Banking, and MBNA - U.S. Retail including TD Bank, America’s Most Convenient Bank, TD Auto Finance (U.S.), TD Wealth (U.S.) and TD’s investment in Schwab - Wealth Management & Insurance including TD Wealth (Canada), TD Direct Investing, and TD Insurance - Wholesale Banking including TD Securities and TD Cowen