Page for more information.**Position Summary:** ***(Overview of key purpose and accountability of the role)**** Adhere to internal policies / procedures, enterprise frameworks and methodologies and applicable regulatory guidelines, contribute to the review of internal processes and activities and assist in identifying control weaknesses/failures, potential opportunities to improve operational efficiencies for their business area* Actively manage relationships with business lines/ corporate and/or control functions and ensure alignment with enterprise and/or regulatory requirements* Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts to the Bank* Assess / identify key issues and escalate to appropriate levels and relevant stakeholders where required* Maintain a culture of risk management and control, supported by effective processes and sound infrastructure in alignment with risk appetite* Participate in cross-functional / enterprise initiatives as a subject matter expert helping to identify risk / provide guidance for complex situations* Provides thought leadership and/or industry knowledge for own area of expertise* Encourage a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues/ points of interest* Identify and recommend opportunities to enhance productivity, effectiveness and operational efficiency* Work effectively as a team, supporting other members of the team in achieving business objectives and providing stakeholders services* Participate in knowledge transfer within the team and business units.* Contribute to the overall performance management process by providing coaching and input into team members' assessment on assigned audits* Work autonomously and accountable for acting as a lead within a specialized audit practice area and provide work direction to others* Provide seasoned specialized knowledge, advice and/or guidance to various stakeholders and team members* May lead and/or provide supervisory oversight to complex audits and ensure completion.* Knowledge of external competition, industry and/or market trends in relation to own function / business* Scope of role may have enterprise impact* Undertake and complete a variety of complex audit projects and initiatives requiring specialist knowledge and/or the integration of cross functional processes within own area of expertise* May oversee and/or independently perform concurrent multiple audits and related tasks from end to end* Ability to process and handle confidential information with discretion.* Generally, reports to a Senior Audit Group Manager or executive role* Undergraduate degree required* 7+ years of relevant experience* Strong background in Financial Crime Regulations for the Region* Certifications such as CAMs, CFE, CGSS, CAFS or regional equivalent* Strong knowledge of the Financial Crimes regulations (includes AML, ATF and sanctions), FATF recommendations, AML/ATF and sanctions frameworks, emerging risk, trends, typologies, Insider Risk, Fraud, Anti-Bribery and Anti-Corruption.* Knowledge of Financial Crimes Governance, Reporting, Regulations, Regulatory Compliance Management, Policy, Standards, Procedures, Customer Due Diligence, Know Your Customer, Enhance Due Diligence, Customer Risk Rating, Investigations, Sanctions, Money Service Business, Politically Exposed Person, Heads of International Organizations, High Risk Customer Types, Regulatory Reporting (Large Cash Transaction Reports (LCTRs), Electronic Funds Transfer Reports (EFTRs), Terrorist Property Reports (TPRs), Suspicious Transaction Reports (STRs)) and Transaction Monitoring.* Experience and proficiency in audit, monitoring and testing, quality assurance, quality control.* Strong communication, interpersonal and people management skills, project management and managing competing priorities.* Ability to write and review audit findings and report**Risk Management** **Responsibilities:*** The scope of your management responsibilities.* The TD Policies and regulatory requirements pertaining to the business/activities you are managing.* The competence level of the staff, if any, reporting to you.* The control limits and your ability, if any, to delegate them within your business.* Demonstrate that you receive adequate and appropriate management reporting.**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 Development****Our Values** At TD we’re guided by our purpose to enrich the lives of our customers, communities and colleagues, and share a set of values that shape our culture and guide our behavior. In exchange for how our colleagues show up to help TD succeed, we are committed to delivering a colleague experience grounded in Impact, Growth and a Culture of Care. No matter where you work across TD, we empower you to make an impact at work and in your community, explore and grow your career and be part of our caring and inclusive culture. **Our Commitment to Diversity, Equity, and Inclusion** At TD, we’re committed to fostering an environment where all colleagues are encouraged to bring their authentic selves to work, experience equitable opportunities, and feel respected and supported. We’re dedicated to building an inclusive workforce that reflects the diversity of the customers and the communities in which we live and serve. **Helping to Make an Impact in Communities – TD Ready Commitment** TD has a long-standing commitment to help drive progress towards a more inclusive and sustainable future. That’s why we launched the TD Ready Commitment in 2018, now a multi-year North American initiative. Under the TD Ready Commitment, we are targeting a total of C$1 billion by 2030 in community giving across four key, interconnected drivers of change: Financial Security, Vibrant Planet, Connected Communities, and Better Health. It’s our goal to help support change, nurture progress, and contribute to making the world a better, more inclusive place for our customers, colleagues, and communities. Learn more: | |
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