TD Securities · 11 hours ago
KYC Offboarding Manager, (US)
Jacksonville, FL
Full-time
Onsite
Mid, Senior Level
$87K/yr - $130K/yr
3+ years expTD Securities is one of the world's leading global financial institutions and is deeply committed to providing exceptional customer experiences. The KYC Offboarding Manager will lead a team that ensures compliance with KYC regulations, overseeing client due diligence reviews and managing operational results while driving process improvements.
BankingFinanceFinancial Services
Responsibilities
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
Manages a team of production teams to perform job functions in line with policies, standards, procedures, and job aids
Ensures that personal and teamwork products are fit for purpose and audit/regulator ready
Suggests process improvements to drive better results from efficiency, accuracy, or quality of work product
Leads initiatives to help bring these improvements to fruition
Works with senior management on highly complex, confidential, or high visibility projects
Suggests process improvements to drive better results from efficiency, accuracy, or quality of work product
Leads initiatives to help bring these improvements to fruition. Works with senior management to ensure that special projects are brought to fruition
Leads and manages a team of professionals and overall operation of a diverse group in an area of moderate risk, complexity, or scope
Ensures an integrated approach with other business management areas, broader organization, and enterprise as appropriate
Deep knowledge and understanding of businesses/technology, and organizational practices/disciplines
Sound to advanced knowledge of external competition, industry and/or market trends in relation to own function/business
Focuses on short to medium-term issues
Manages a team of KYC Ops professionals providing oversight and control related to client due diligence KYC Ops accountabilities and how this impacts the line of businesses
Provides guidance, leadership, coaching and development to ensure operational results and professional/personal development objectives are achieved
Works with executive team, senior business management/ partners to develop proactive strategies, tactics, and programs to effectively manage regulatory/compliance issues relating to KYC Ops
Acts as key liaison with partners and external groups and provides KYC Ops subject matter expertise; partner, as necessary, effectively with key stakeholder groups such as Compliance, Legal, Audit, Risk
Coaches to ensure functional/operational problems are handled appropriately, and participates in the negotiation and resolution of complex and/or escalated issues, where necessary
Leads and develops KYC Ops frameworks, methodologies, procedures in coordination with management in line with TD’s AML Program
Participates in/manages global regulatory examinations and external/internal audits with respect to request for information relating to KYC Ops and ensure this information for department executives are aware of the status and any issues that may arise
Takes corrective action and recommends or implements changes to procedures, as required
Manage the production of teams through metrics and data to ensure the operations of the team meet service level agreements while maintaining high quality work product
Supports the development and maintenance of TD’s KYC Ops program, including assigning workflow to analysts, providing governance and support, and addressing and escalating issues to senior management
Protects the interests of the organization – identifies and manages risks and ensures the prompt and thorough resolution of escalated non-standard, high-risk issues
Actively assists in developing and overseeing implementation of function procedures
Ensures respective programs/policies/practices are well managed, meets function needs, complies with internal/external requirements, and aligns with function priorities
Consistently exercises discretion in managing correspondence, information, and all matters of confidentiality; escalates issues, where appropriate
Works closely with management team to support the development of business plans, ensuring the optimal use of resources and leverage TD’s operating model to maximize efficiency, effectiveness, and scale
Participates in responding to periodic exams/audits by regulatory bodies and Internal Audit, to determine level of compliance
Integrates new systems and upgrades into function operations, as needed
Manages day to day operations of the function and participates in KYC Ops-focused special projects, and other projects
Responsible for updates and changes made to functional procedures and processes
Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts
Ensures employees are building and enhancing their KYC Ops knowledge and expertise; and employees assume responsibility in minimizing operational and regulatory risk by complying with Bank policy and Code of Conduct
Monitor and communicates to Senior Management, the effectiveness of strategies, programs, and practices related to own area of expertise
Sets the standards for operations and manageability across the function ensuring services are built from the ground up
Proactively identifies key business opportunities, researches, and recommends enhancements/modifications, develops strategies to achieve recommendations
Ensures department operates in compliance with applicable internal and external requirements
Ensures appropriate reporting and escalation of issues based on risk profile
Ensures employees are knowledgeable of and comply with Bank and industry codes of conduct
Leads relationships with corporate and/or functions to ensure alignment with enterprise and/or regulatory requirements
Leads or contributes to cross-functional/enterprise initiatives as an organizational or subject matter expert helping to identify risk/provide guidance for complex situations
Coordinates and support team and business partner related activities, as necessary
Responsible for management of the overall team providing both leadership and guidance
Contributes to the development of FCRM functional strategic priorities within their operational area or field of specialty
Develops annual and/or long-term plans for own area and influences plans well beyond area managed
Provides thought leadership and/or industry knowledge for own area of expertise in own area and participates in knowledge transfer within the team and business unit
Grows team expertise to align with FCRM/enterprise demand and direction; assesses team skills and capabilities and continually looks for ways to provide and enhance the value delivered
Leads and develops a high performing team of professional FCRM resources through talent acquisition, coaching/development, and recognition; provides on-going feedback and performance reviews, coaches and develops employees and ensures performance management activities are undertaken and completed for all employees
Creates and fosters a cohesive team and promotes a positive work environment. Leads and follows up on action plans to improve employee experience
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 the 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 the function and the bank, both internally and/or externally
Qualification
Required
Undergraduate Degree or equivalent professional work experience
3+ years of direct management experience in financial services or similar industries including fraud, know your customer, anti-money laundering, sanctions screening, or similar roles for new joiners (or)
6+ years' direct management experience in an unrelated role involving information fluency, investigation, research, or financial services broadly but not specifically KYC or AML
Preferred
NCA (new client adoption)
Client off boarding
Strong Excel Power BI / Tableau
Cross Functional Collaboration Skills
Analytical and Critical Thinking Capabilities
Ability to Translate Complex Problems into Clear Documentation
Data Interpretation & Reporting Skills
Strong oral & written communication skills; ability to convey complex scenarios into simple business language
Very detailed and strong organizational skills
Previous Team Lead of 5-8 reports
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
Funding
Current Stage
Late StageLeadership Team
Rona Ambrose
Deputy Chairwoman
Recent News
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