TD Securities · 6 hours ago
Manager, Financial Crimes Transaction Screening Capabilities and Oversight
Buffalo-Niagara Area
Full-time
Onsite
Mid, Senior Level
$91K/yr - $146K/yr
7+ years expTD Securities is one of the world's leading global financial institutions, and they are seeking a Manager for their Financial Crimes Transaction Screening Capabilities and Oversight team. This role involves overseeing the team responsible for AML/ATF/Sanctions compliance programs and managing critical program initiatives related to transaction screening operations.
BankingFinanceFinancial Services
Responsibilities
Day to day operations of the Fircosoft Continuity platform, including screening flows, thresholds and system health
Provide Oversight and Execute appropriate testing and tuning of system configurations
Identify screening rules, scenarios or configurations that generate excessive false alerts through metrics. Develop, test, and implement rule logic within Fircosoft Continuity
Produce operations metrics, maintain procedures and documentation, and support internal audits, model reviews and regulatory examinations related to transaction screening operations
Provide oversight of Trade Finance Screening of parties and payments in Fircosoft Continuity
Provide oversight and develop solutions for Prohibited Securities Controls
Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance, supporting compensation decisions, promoting teamwork, and handling disciplinary actions, as required
Leads and manages a team of AML/ATF/Sanctions/ABAC professionals and overall operation of a diverse group in an area of moderate risk, complexity, or scope, while growing talent, developing skills and capabilities to achieve career goals, support project/initiative success and achieve business results
Provides oversight to aspects of an assigned portfolio of mature or non-complex and dynamic TD businesses and legal entities
Expert knowledge of the business and operational functions supported
Leads teams with multiple points of internal and external contacts
Work focus time horizon is medium to long term (6 months to a year) with moderate to high focus on strategic planning
Deep knowledge and understanding of businesses/technology, and organizational practices/disciplines
Contact for business management, external/internal auditors, dealing with non-routine information
Sound knowledge of external competition, industry and/or market trends in relation to own function/business
Involves contact with cross-functional teams across TDBG and external contacts
Leads and manages a high performing team on delivery of AML/ATF/Sanctions/ABAC compliance programs and culture
Provides guidance, leadership, coaching and development to direct reports to ensure operational results and professional/personal development objectives are achieved
Provides strategic direction on a broad and diverse range of complex AML/ATF/ Sanctions/ABAC program activities
Proactively advises covered TD businesses of new and changed AML/ATF/Sanctions/ABAC regulatory and/or policy requirements and articulates the impact to their processes and controls
Contributes to the development and implementation of AML/ATF/Sanctions/ABAC Compliance programs
Works with senior business unit management/partners to develop proactive strategies, tactics, policies, and programs to effectively manage regulatory/compliance issues
Provides insight, guidance, and recommendations and acts as a specialized resource to other departments based on subject matter expertise including, but not limited to, customer identification and due diligence, enhanced due diligence, policy, governance, training and/or compliance assurance and testing
Manages and provides oversight on day-to-day operations of the department and participates in enterprise wide or Customer focused special projects on behalf of FCRM
Delivers subject matter expertise and AML/ATF/Sanctions/ABAC guidance to business management, including developing and maintaining management reporting and analysis
Coordinates/Manages the team’s participation in / responses to regulatory examinations and internal/external audits, reviewing, packaging, and tracking and providing information for department executive
Develops and oversees the implementation of business line policies and procedures
Works closely with leaders to develop and operationalize the business plan and deliver on AML/ATL/Sanctions/ABAC programs across the enterprise
Plans and executes on strategic activities, reviews, and communicates results, and adjusts tactics accordingly
Proactively identifies key business opportunities, research, and recommends enhancements/modifications, develops strategies to achieve recommendations and works closely with team to execute and implement
Understands TDBG issues/parameters and guides others to protect the reputation and interest of TDBG by adhering to operating standards and processes related to AML/ATF/ Sanctions/ABAC
Provides oversight on risk assessment processes as required
Protects the interests of the organization – identifies and manages risks, and escalates non-standard, high-risk transactions/activities as necessary
Keeps current on emerging issues, trends, and evolving regulatory requirements and assesses potential impacts
Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite
Liaises with regulatory and law enforcement agencies on AML/ATF/Sanctions/ABAC examinations and related inquiries
Ensures employees are building and enhancing their knowledge and expertise; and employees assume responsibility in minimizing operational and regulatory risk by complying with Bank policy and Code of Conduct
Responsible for management of the overall team providing both leadership and guidance
Contributes to the development of business line and/or enterprise functional strategic priorities within their operational area or field of specialty
Leads a high performing team; provides on-going feedback and performance reviews, coaches and develops employees and ensures performance management activities are undertaken and completed for all employees
Leads the process of setting performance objectives for the team; tracks, monitors and effectively addresses and/or rewards performance in a timely manner
Manages employees in compliance with all human resources policies, procedures, and guidelines of conduct
Shares knowledge, information, skills, and subject matter expertise among the team and ensures the timely communication of issues and encourages good working relationships with other functions and teams
Supports an environment where team freely escalates business challenges; facilitates change through positive reinforcement of milestones and successes
Recruits for all hires to ensure a highly diverse, qualified workforce to achieve business objectives
Establishes and fosters a cohesive team; promotes a fair and equitable environment that supports a diverse workforce and encourages the team to achieve common goals and objectives
Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally
Qualification
Required
Undergraduate degree or equivalent work experience
7+ years experience
Preferred
Strong understanding of sanctions regulations and how regulatory requirements translate into transactions screening logic
Deep, hands-on experience with Firco Continuity or similar transaction screening platforms, including rule logic, thresholds, name matching, etc
Hands-on involvement in system enhancements, tuning exercises or migrations
Ability to assess model and rule performance, alert volumes, false positive reduction and coverage gaps
Familiarity with screening governance concepts and regulatory documentation expectations
Experience supporting audits, regulatory exams and issue remediations
Proven experience managing a small team including work prioritization, performance management and skill development
Strong stakeholder management skills, particularly when working with Sanctions, Technology, etc
Licences/Certifications (Preferred): CAMS, CGSS, CFCS, Data or analytical credentials (SQL, Python exposure)
Benefits
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
Reward and recognition
Company
TD Securities
TD Securities is an investment banking that offers global transaction, M&A advisory, foreign exchange, and equity research services.
5001-10000 employees
H1B Sponsorship
TD Securities has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
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2025 (70)
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Funding
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Late StageLeadership Team
Rona Ambrose
Deputy Chairwoman
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