Work Location :New York, New York, United States of AmericaHours:40Line of Business:Financial Crime Risk ManagementPay Detail:250,000 - 300,000 USDTD is committed to providing fair and equitable compensation opportunities to all colleagues. The included salary range for this role takes into account multiple factors that are considered in making compensation decisions. The base pay actually offered may vary based upon candidate's skills and experience, job-related knowledge, licensure and certifications, geographic location, and other specific business and organizational needs. As TD puts career development at the forefront of our colleague experience, it is not typical for an individual to be hired at or near the top of the range for their role.As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this roleJob Description:
Manages, enhances, and oversees all aspects of the AML/Sanctions/ABAC programs, including managing compliance with AML and sanctions regulatory requirements for TDS USA region and the TD Bermuda entities (as applicable).
Oversees the day-to-day AML/sanctions functions performed by the TDS NY AML Advisory Team including but are not limited to transaction monitoring, testing, de-market, Section 312 reviews, annual AML/sanctions risk assessments.
Manages and oversees all aspects of regulatory AML/sanctions examinations including the OCC, FINRA, FRB.
Manages and oversees AML examinations conducted by Internal Audit and the Enterprise Testing Center.
Reviews and assesses AML/sanctions risks for all New Business Product Approval requests impacting the U.S. and provides recommendation(s) to the global head of TDS VP AML for approval/refusal.
Reviews and assess AML/sanctions risks for all matters escalating to the TDS Reputational Risk Committee and US Reputational Risk Committee and provides recommendation(s) to the global head of TDS VP AML for approval/refusal.
Participates as part of the GAML's Road to Strong for TDS globally (currently for Chapter 4 only) and is the delegate owner for applicable remediation effort.
Provides AML/sanctions advisory services regarding issues/matters raised by the TDS and TD Cowen business lines, and TD Cowen AML Officer that are appropriate ensuring compliance with AML/sanctions rules.
Provides AML onboarding advisory services to the TDS Client Onboarding Team relating to exceptions to AML requirements.
Provides oversight of the TD Cowen's integration effort which includes all aspects of AML/sanctions/ABAC functions.
Monitors TD Cowen US's omnibus relationships remediation effort.
Chairs the monthly TDS NY AML Committee.
Education & Experience:
Graduate or Bachelors degree or progressive work experience
7+ years related experience
Who We AreTD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.Our Total Rewards PackageOur Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more (http://hrportal.ehr.com/tdtotalrewards)Additional Information:We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.Colleague DevelopmentIf you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.Training & OnboardingWe will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.Interview ProcessWe’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.AccommodationIf you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at [email protected] . Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.