Directeur de groupe II, Exploitation, LCBA

Lieu de travail:

Horaire:

Secteur d’activité:

Détails de la rémunération :

Nous avons à cœur d’offrir une rémunération juste et équitable à tous nos collègues. En votre qualité de candidat ou de candidate, nous vous encourageons à avoir une conversation franche avec votre recruteur et à poser des questions sur la rémunération, notamment les particularités salariales de ce poste.

Description du poste:

TD Securities High Risk Customer Program conducts enhanced due diligence investigation, initial, trigger and periodic reviews of high-risk customers within the TD Securities (TDS) business line with presence including Asia, Europe, US and Canada.

Within the TDS High Risk Customer Program, there is a specialized unit consisting of subject matter experts and investigators with accountabilities for conducting these investigation, initial, trigger and periodic reviews of customers who are deemed potentially higher risk and other referrals relating to financial crime including money laundering, terrorist financing, sanctions, fraud, anti-bribery, and anti-corruption associated with TD Securities capital markets program.

The Group Manager, AML Financial Crime Risk Investigation (TDS Enhanced Due Diligence, High Risk Customer Program) reports to the Senior Manager, AML Financial Crime Investigations (AML Enhanced Due Diligence, High Risk Customer Program) and the Associate Vice President (AVP), Head of Canada Enhanced Due Diligence and Politically Exposed Person Programs.

The Group Manager supports the Senior Manager, and the AVP with the management and oversight of the TDS High Risk Customer Program while partnering with internal and external stakeholders including sanctions, Global Transaction Banking, capital markets and compliance stakeholders as well as working with other people managers and investigators to ensure the controls are designed and operating effectively to mitigate the risk and compliance with regulatory requirements as well as the Bank's systems of internal controls. Additionally, the Group Manager is accountable and support with the following:

• Provide support to the Senior Manager and the AVP with the oversight and management of the TDS High Risk Customer Program.
• Provide guidance, direction, oversee and lead a team of AML Financial Crime Investigators who conduct EDD of TDS high risk customers as well as other AML Financial Crime Investigators tasked with conducting maker/checkers and/or quality controls while promoting a culture of compliance and an environment of ongoing employee development and feedback.
• Ensure investigations, initial and periodic reviews of TDS high risk customers are risk assessed, reviewed, and assigned on a risk based prioritization approach and timely manner.
• Provide oversight of the enhanced due diligence investigation, initial, trigger and periodic reviews of TDS high risk customers in accordance with the prescribed timelines including internal controls, procedures, and regulatory requirements.
• Ensure the regulatory reporting is conducted in a timely manner and/or without delay while adhering to regulatory requirements and internal controls.
• Ensures that other ongoing activities are performed according to established policies and procedures.
• Lead a team of AML Financial Crime Investigators who conduct EDD to achieve business / operational objectives, maintain effective day-to-day operations and deliver quality service and transaction processing consistent with business objectives
• Additionally, Group Manager oversees and manages the control activities of the TDS High Risk Customer Program as well as a team of AML Financial Crime Investigators who are responsible for conducting EDD of various TDS customers who have been deemed high risk, mitigation of risk such as recommendation to demarket/exit relationships, timely and/or without delay regulatory reporting of potential money laundering and terrorist financing activities.

CUSTOMER

• Lead a team of professionals and managers to achieve business / operational objectives, maintain effective day-to-day operations and deliver quality service and transaction processing consistent with business objectives
• Provide guidance and direction to team members within own area of specialization and focus
• Review and assess incoming files and allocate to appropriate Investigators/Investigative Specialists
• Conduct investigations in the capacity of a working lead where cases have been specifically assigned ensuring proper analysis and investigation standards are followed
• Prepare applicable documents based on criminal and/or non-criminal proceedings
• Collaborate with counterparts from other institutions and/or external organizations (e.g., public sector, government, law enforcement) to gather intelligence information where necessary
• Ensure investigations are professionally conducted and completed in a timely manner
• Identify and communicate procedural weaknesses to businesses and ensure processes for remediation are in place such as following up for corrective action where applicable
• Maintain strong awareness of emerging trends and investigative techniques for own area of specialty
• Represent the department on internal projects/committees for own specialized area as necessary

SHAREHOLDER

• Contribute to the development of the business plan, operationalize the plan and deliver on assigned service/functionality
• Work with key business leaders to develop business plan, ensuring the optimal use of resources and leverage TD’s operating model to maximize efficiency, effectiveness and scale
• Monitor and communicate effectiveness of strategies, programs, and practices related to own area of accountability
• Ensure programs, policies and practices continue to meet business needs, comply with internal and external requirements, and align with business priorities
• Proactively identify key business opportunities, research and recommend enhancements/ modifications, develop strategies to achieve recommendations
• Coordinate activities with partners across the organization, may include HR, Technology, Finance, Risk Mgmt.
• Ensure team operates in compliance with applicable internal and external requirements, and employees comply with Bank and industry codes of conduct
• Ensure appropriate reporting and escalation of issues based on risk profile
• Lead relationships with business lines / corporate and/or control functions to ensure alignment with enterprise and/or regulatory requirements
• Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts
• Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite

EMPLOYEE / TEAM

• Responsible for management of the overall team providing both leadership and guidance
• Set targets and objectives for the team, and deliver results
• Develop a team of professionals in all aspects of related competencies and act as resource and mentor to others
• Grow team expertise to align with business/enterprise demand and direction; assess team skills and capabilities and continually look for ways to provide and enhance the value delivered
• Lead a high performing team; provide on-going feedback and performance reviews, coach and develop employees and ensure performance management activities are undertaken and completed for all employees
• Lead the process of setting performance objectives for the team; track, monitor and effectively address and/or reward performance in a timely manner
• Manage employees in compliance with all human resources policies, procedures and guidelines of conduct
• Share knowledge, information, skills, and subject matter expertise among the team and ensure the timely communication of issues and encourage good working relationships with other functions and teams
• Establish and foster a cohesive team; promote a fair and equitable environment that supports a diverse workforce and encourage the team to achieve common goals and objectives
• Act as a brand ambassador for your business area/function and the bank, both internally and/or externally

BREADTH & DEPTH:

• Provides people management leadership by hiring the best talent, setting goals, developing employees, managing employee performance and compensation decisions, promoting teamwork, and handling any/all disciplinary actions, as required
• Manages a team of Investigators for a specific geographical area/business unit
• Demonstrates broad and in-depth knowledge of investigative techniques, proper protocol, and financial criminal trends
• Working Manager role that provides overall direction to the team and assigns and reviews the caseload of others
• Generally involved in thematic and/or more complex investigations that may have significant reputational/ organizational impact
• Ability to present and make recommendations to senior management and executives
• Ensure an integrated approach with other business areas, broader organization, and enterprise as appropriate
• Coordinates and prioritizes multiple initiatives and manages resource allocation
• Establishes effective relationships with different Stakeholders, Business Sponsors, Executives and LOB
• 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
• Focus on short to medium-term issues (e.g., 6-12 months)
• Generally, reports to a Senior Manager or an executive role

EXPERIENCE AND / OR EDUCATION

• Undergraduate degree equivalent work experience
• 7+ years of experience
• Certified Anti-Money Laundering Specialist (CAMS)/Certified Financial Crime Specialist (CFCS) certifications an asset.
• Strong Knowledge of products and services such as correspondent banking, trade finance, cash management, equities, fixed income, foreign exchange, prime brokerage
• Strong knowledge of Canadian AML legislation, requirements and guidance including by not limiting to Financial Transactions Report Analysis Centre of Canada (FINTRAC), Officer of the Superintendent of Financial Institutions (OSFI), Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA), and the Criminal Code of Canada, BSA and US Patriot Act, FinCEN (Finance Crimes Enforcement Network), Monetary Authority of Singapore (MAS), as well as FCA (Financial Conduct Agency) of the United Kingdom requirements.
• Strong knowledge and experience of conducting enhanced due diligence with focus on institutional clients.
• Strong knowledge and experience with investigating complex and sensitive ML/TF and sanctions cases including reasonable ground to suspect (RGS).
• Strong knowledge and experience interacting with law enforcement, corporate security, and other investigative groups.
• Excellent oral and written communication skills.
• Coaching and counseling skills
• Strong knowledge of current and emerging trends, risk and typologies of money laundering, terrorist financing and sanctions.
• Ability to delegate work to others, work well independently and ability to collaborate and build positive relationships.
• Strong decision-making, critical thinking, follow-through ability, analytical skills.
• Ability to respond to shifting priorities quickly and managing competing priorities.
• Proficiency in using computer applications including MS Office.
• Ability to exercise sound judgement in making decisions.
• Skill in leading budgets and resource allocation
• Ability to handle confidential information with discretion

À propos de nous :

La TD est un chef de file mondial dans le secteur des institutions financières. Elle représente la cinquième banque en Amérique du Nord de par son nombre de succursales. Chaque jour, nous offrons une expérience client légendaire à plus de 27 millions de ménages et d’entreprises au Canada, aux États-Unis et partout dans le monde. Plus de 95 000 collègues de la TD mettent en commun leurs compétences, leur talent et leur créativité au service de la Banque, des clients qu’elle sert et des économies qu’elle appuie. Nous sommes guidés par notre vision d’être une meilleure banque et par notre objectif d’enrichir la vie de nos clients, de nos collectivités et de nos collègues.

La TD est une entreprise profondément engagée à être une leader en matière d’expérience client. Voilà pourquoi nous croyons que chaque collègue, peu importe son secteur d’activité, est en contact avec la clientèle. En parallèle de l’évolution de nos activités et de notre stratégie, nous innovons afin d’améliorer l’expérience client et de créer des capacités pour façonner l’avenir des services bancaires. Que vous ayez plusieurs années d’expérience dans le secteur bancaire ou que vous commenciez tout juste votre carrière dans le domaine des services financiers, nous pouvons vous aider à réaliser votre plein potentiel. Vous pourrez compter sur nos programmes de formation et de mentorat et sur des conversations sur le perfectionnement et le leadership pour réaliser votre plein potentiel et atteindre vos objectifs. Notre croissance en tant qu’entreprise rime avec la vôtre.

Notre programme de rémunération globale
Notre programme de rémunération globale reflète les investissements que nous faisons pour aider nos collègues et leur famille à atteindre leurs objectifs en matière de bien-être mental, physique et financier. La rémunération globale à la TD inclut le salaire de base, la rémunération variable et bien d’autres régimes clés, comme des avantages sociaux en matière de santé et de bien-être, des régimes d’épargne et de retraite, des congés payés, des avantages bancaires et des rabais, des occasions de développement de carrière et des programmes de récompenses et reconnaissance. En savoir plus

Renseignements supplémentaires :
Nous sommes ravis que vous envisagiez une carrière à la TD. Sachez que nous avons à cœur d’aider nos collègues à réussir dans leur vie tant personnelle que professionnelle. C’est d’ailleurs pourquoi nous leur offrons des conversations sur le perfectionnement, des programmes de formation et un régime d’avantages sociaux concurrentiel.

Perfectionnement des collègues
Un cheminement professionnel particulier vous intéresse ou vous cherchez à acquérir certaines compétences? Nous tenons à vous mettre sur la voie de la réussite. Vous aurez des conversations régulières sur le développement de carrière, le perfectionnement et le rendement avec votre gestionnaire. Une variété de programmes de mentorat et une plateforme d’apprentissage en ligne seront également à votre disposition pour vous aider à ouvrir de nouvelles portes. Que vous ayez à cœur d’aider les clients et souhaitiez élargir votre expérience ou que vous préfériez coacher et inspirer vos collègues, sachez que la TD propose un grand nombre de cheminements professionnels et qu’elle s’engage à vous aider à relever les occasions qui vont dans le sens de vos objectifs.

Formation et intégration
Nous tenons à nous assurer que vous disposez des outils et ressources nécessaires pour réussir à votre nouveau poste. Dans cette optique, nous organiserons des séances d’intégration et de formation.

Processus d’entrevue
Nous communiquerons avec les candidats sélectionnés pour planifier une entrevue. Nous ferons notre possible pour communiquer par courriel ou par téléphone avec tous les candidats pour leur faire part de notre décision.

Mesures d’adaptation
L’accessibilité est importante pour nous. N’hésitez pas à nous faire part de toute mesure d’adaptation (salles de réunion accessibles, sous-titres pour les entrevues virtuelles, etc.) dont vous pourriez avoir besoin pour participer sans entraves au processus d’entrevue.

Nous avons hâte d’avoir de vos nouvelles!

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