Senior Financial Crimes Compliance Director

About the Role

We are seeking an experienced Senior Financial Crimes Compliance Director to join our team at TD Bank. This key leadership role will oversee financial crimes audit coverage, regulatory and issue validations, testing functions, and the financial crimes COE in Canada, Europe, and Asia.

You will work closely with various Audit teams covering aspects of the TDBG financial crimes program as well as with the US financial crimes team. The ideal candidate will have extensive experience in Financial Crimes, inclusive of AML/Sanctions/ABAC/Insider Risk, Internal/External Fraud.

Responsibilities:

• Lead People Management: Provide people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork, and handling disciplinary actions as required.
• Design and Execute Audit Plan: Design, plan, and execute the Audit Plan for TDBG Financial Crimes areas.
• Control Culture: Contribute to a strong control culture within the Division.
• Develop Strong Relationships: Develop and maintain strong relationships with key stakeholders, including Audit teams covering first-line, technology, model risk, that impact the TDBG financial crimes programs.
• Staffing and Talent Development: Staff the function with appropriately skilled individuals and augment with SMEs where necessary.
• Risk-Based Audit Planning: Develop a risk-based Audit Plan and deliver the plan evenly over the course of the year.
• Quality Assurance: Ensure quality of work meets division standards.
• Identify Control Gaps: Identify all significant control gaps in areas we audit.
• Reporting: Provide clear, comprehensive, and timely reporting on significant control matters.
• Financial Budget Management: Manage financial budget within plan and risk.

Leadership Responsibilities:

• Canada and EAP Audit Team Leadership: Lead and oversee the Canada and EAP dedicated Audit Financial Crimes team responsible for COE AML Team, develop and maintain coverage plans, provide advice to teams during audits with FC risk, develop and maintain Standard Audit Programs (SAPs) for all FC.
• Audit Software Maintenance: Maintain and review Audit's financial crimes risk assessment process, ensure Audit software has up-to-date inventories as needed, including regulations, customer risk types, products, and services, control library, etc.
• Industry Research and Education: Perform ongoing industry and regulatory research and continue to educate, coordinate and lead annual planning, lead and support annual financial crimes skills assessment, advise other IA teams on testing, raising issues, etc.
• Data Analytics Liaison: Coordinate and lead data analytics liaison to augment the application and utilization for data analysis in support of outcomes testing and effective challenge testing, perform continuous monitoring, exam management, support and lead response to regulatory requests and quarterly reporting coordinating with various financial crimes teams.

Requirements:

• Degree Required: Degree required.
• Progressive Experience: 10 years progressively responsible experience in public accounting and/or internal auditing management experience is required.
• Expert Knowledge: Expert knowledge of auditing principles and practices as well as applicable legal and regulatory statutes.
• Delegation and Policy Establishment: Strong ability to delegate authority and establish policies that ensure oversight of delegated authority.
• Analytical Skills: Ability to analyze business situations and effectively collaborate on overall corporate direction.
• Strategic Planning and Process Management: Strategic planning and process management experience.
• Senior Management and Leadership Experience: Senior management and leadership experience with a financial management background.
• Excellent Communication Skills: Excellent written and verbal communication skills, including public speaking ability and positive public presence.

About Us:

TD Bank is one of the world's leading global financial institutions and the fifth largest bank in North America by branches/stores. We deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States, and around the world.

We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities, and colleagues. Our company values diversity and promotes a culture of inclusivity.

Total Rewards Package:

Our Total Rewards package reflects the investments we make in our colleagues to help them achieve their financial, physical, and mental well-being goals. It includes base salary, variable compensation/incentive awards, health and well-being benefits, savings and retirement programs, paid time off, banking benefits, discounts, career development opportunities, and recognition programs.