TD Securities · 7 hours ago
Financial Crime Risk Specialist - Customer Risk Analysis, Data Framework
New York, NY
Full-time
Hybrid
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 Financial Crime Risk Specialist to support the development and management of Customer Risk Rating Framework Documentation and Methodologies. The role involves maintaining customer risk rating methodologies, conducting reviews, and supporting compliance initiatives to ensure adherence to regulatory standards.
BankingFinanceFinancial Services
Responsibilities
Leads the development of team procedures and governance processes and advises FCRM stakeholders and teams of changes and enhancements to enterprise FCRM programs and requirements and where they may impact in the organization
Works with FCRM partners and other related groups (such as Compliance, Legal and Risk etc.) to support creation of documentation and reports required by external regulatory bodies and TD internal groups
Conducts research, assesses FCRM risks and controls, and otherwise contributes to a specialized team of FCRM compliance professionals, interacting with key stakeholders
Provides governance oversight through management of the policy and training exemption governance and reporting processes to the FCRM Senior Executive Team (and related FCRM Sub-Committees)
Prepares summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of the FCRM program
Represents FCRM as a specialist on internal or external committees as well as on enterprise-wide Regulatory Change Management initiatives, as required
Delivers relevant subject matter expertise and FCRM advice to business / FCRM partners
Interacts with control functions within the organization
Develops and delivers training programs for applicable employees across the Bank
Conducts meaningful research, analysis, and assessment of FCRM program activities at the functional level using results to draw conclusions, make recommendations, assess the effectiveness of enterprise FCRM programs
Prepares research, analysis, updates tools and/or supports training activities specific to risk assessment
Leads development of processes, procedures and guidance relevant to own specific FCRM function of expertise
Provides high quality service and advice to key business (FCRM) partners and monitors progress of initiatives, action plans, or similar activities
Protects the interests of the organization – identifies and manages risks, and ensures the prompt and thorough resolution of escalated non-standard, high-risk issues
Delivers relevant subject matter expertise and FCRM advice to business (FCRM) partners
Leads new or revised product initiatives, advises businesses on FCRM compliance requirements and ensures that those requirements are properly written into requirements for business projects
Participates in FCRM level projects as needed, to facilitate and oversee changes to FCRM processes, systems, or practices
Coordinates with other FCRM partners and business compliance partners to ensure consistency in the application of FCRM programs and standards across the enterprise
Ensures relevant FCRM programs align with TD corporate philosophy and strategic direction
Monitors FCRM industry developments and maintains strong knowledge of evolving regulatory requirements and assesses potential impacts
Proactively identifies key business opportunities, researches and recommends enhancements / modifications, develops strategies to achieve recommendations
Leads relationships with business lines / corporate and/or control 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
Complies with applicable internal and external audit and regulatory requirements and may actively provide support during Audit and Regulatory Reviews, providing recommendations and guidance as required
Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite
Participates in responding to periodic exams/audits by regulatory bodies and Internal Audit, to determine level of BSA/FCRM compliance
Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues / points of interest
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
Shares knowledge of the business, related tools and techniques
Leads or participates in personal performance management and development activities, including cross training within own team
Keeps others informed and up to date about the status / progress of projects and / or all relevant or useful information related to day-to-day activities
Contributes to the success of the team by assisting others in the completion and performance of work activities, provides coaching and/or guidance as appropriate
Contributes to a fair, positive and equitable environment that supports a diverse workforce
Acts as a brand champion for the function and the bank, both internally and/or externally
Qualification
Required
Undergraduate degree or equivalent work experience
7+ years experience
Preferred
5 years of relevant experience
University degree is preferred and CAMS preferred
Dedicated experience in Risk Management, Compliance or AML
Strong Microsoft Excel Capabilities Managing, Cleaning and analyzing Large Data Sets
Experience in AI tools including Copilot would be an asset
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
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (70)
2024 (49)
2023 (37)
2022 (31)
2021 (27)
2020 (30)
Funding
Current Stage
Late StageLeadership Team
Rona Ambrose
Deputy Chairwoman
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