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Head of Audit Sanctions, Anti-bribery, Fraud, Insider Risk and TDS FinCrime


TD Bank

14d ago

  • Job
    Expert Level
  • Accounting & Tax
  • $230K - $300K
  • New York City
  • Quick Apply


  • Undergraduate degree required; Post Graduate degree preferred
  • Professional Accreditation such as Chartered Professional Accountant, Certified Public Accountant, Certified Anti-Money Laundering Specialist, or Certified Internal Auditor would be an asset
  • 10+ years related experience
  • Previous experience developing and executing on strategies and delivering superior results in both the short and long term
  • Previous experience establishing a best-in-class Financial Crimes Function in a large complex global organization (Financial Services experience is beneficial)
  • Proven ability in leveraging deep subject matter expertise to align teams to a central vision, while also listening and engaging others to provide input in the shaping of that vision
  • Strong people management skills with demonstrated experience in leading high performing teams, proven ability to manage and motivate a diverse group of professionals, 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, external stakeholders, and employees
  • Strong presentation and facilitation skills and strong interpersonal and leadership skills to facilitate working with senior management at all levels
  • Skillful communication (written and verbal), negotiation, and partnership skills to balance stakeholder input but remains objective to reach the right outcome - ability to stay resilient under pressure
  • Demonstrated relationship building skills; able to make things happen through the use of positive influence
  • Expertise in working effectively in teams – requires a track record of working cross-organizationally and with multiple stakeholders at varying levels


  • 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 the audit efforts in the US Financial Crimes functions across TD Bank's US businesses. This includes creating and maintaining the Audit Universe, defining the annual audit plan and execution
  • Oversees, designs and develops the audit plan, risk assessment, reviewing and approving the scope of audits; ensuring audits are completed in adherence with Audit Division standards and reporting results to Senior Management
  • Liaises with other Financial Crimes Audit and TD Audit groups to the extent that corporate initiatives or projects impact audit activities within the Business Segments
  • Supports the US Chief Audit Executive opinion to the Audit Committee on the effectiveness of US Bank-wide, governance, risk management, and internal controls
  • Maintains an effective yet independent relationship and regular interaction with all Key Stakeholders (as defined in the Audit Mandate), including appropriate escalation of issues
  • Liaises with regulators as it pertains to our Audit mandate
  • Develops a risk-based Audit Plan for Financial Crimes
  • Recommends, supports, & maintains appropriate resources to execute the plan, including the requisite subject-matter expertise
  • Delivers the plan evenly over the course of the year subject to approval of the AMCB Audit Committees and regulatory expectations
  • Adheres to Internal Audit Methodology standards and practices
  • Assesses/identifies all significant control gaps and escalates to appropriate levels and relevant stakeholders where required for areas of accountability
  • Provides clear, comprehensive, and timely reporting on significant control matters
  • Provides ongoing support and ownership for IA divisional priorities such as Talent Management, Talent Acquisition, Colleague Engagement, Career Development, and Diversity & Inclusion
  • Attracts, develops, and retains talent and maintains an active talent pipeline
  • Responsible for programmatic coverage of:
  • US-bank wide Sanctions Program for the 2nd and 1st line
  • US-bank wide Anti-bribery Program for the 2nd and 1st line
  • Fraud risk management in the 2nd line of defense and Global Security & Investigations in the 1st line
  • Insider risk in the 2nd line of defense
  • TD Securities Financial Crimes Program (including, AML, Sanctions, Anti-bribery, Fraud and Insider Risk)
  • NY Branch Financial Crimes Program (including, AML, Sanctions, Anti-bribery, Fraud and Insider Risk)


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