Job Description

Director, Corporate & Investment Banking Oversight Join to apply for the Director, Corporate & Investment Banking Oversight role at TD Securities Director, Corporate & Investment Banking Oversight 1 day ago Be among the first 25 applicants Join to apply for the Director, Corporate & Investment Banking Oversight role at TD Securities Work Location : New York, New York, United States of America Hours 40 Line Of Business TD Securities Pay Detail

$160,000 - $190,000 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role. Job Description Position: Director, Corporate & Investment Banking Oversight, US FCRM TDS Business Oversight Reports to: AVP, Head of FCRM Oversight, TD Securities, US Position Summary The U.S. FCRM TDS Business Oversight team supports TD Securities in developing, implementing, and maintaining a robust financial crime risk management ("FCRM") program that meets regulatory requirements and mitigates financial crime risk. This involves providing guidance on regulatory compliance, close partnership with business and legal, and operationalizing requirements and regulations for the Wholesale business. The team provides oversight and advice across the full spectrum of TDS customers, products, transactions, and FCRM-related processes. The team mandate includes regulatory compliance, program remediation, risk management, and program development. Key components are: Design, implement, enhance and maintain the TDS U.S. FCRM program. Advise TDS Operations and other 1st line support functions on interpretation of and compliance with applicable financial crime laws, regulations, and guidance. Provide oversight of, and credible challenge to, the first line of defense. Provide customized training and to ensure that employees remain informed about changes in financial crime regulations and emerging money laundering typologies. Assess and opine on financial crime risks of new products and mandates. The Director, Corporate & Investment Banking Oversight, is responsible for supporting the firm’s FCRM program and plays a key role within U.S. FCRM TDS Business Oversight. Primary Duties Include Demonstrate governance, control and risk management behaviors aligned with TD policies and practices. Lead US FCRM TDS Business Oversight efforts, providing advisory and oversight for the Corporate & Investment Banking business within TD Securities, US. Support the AVP, Head of TDS US FCRM in assessing financial crimes-related risks within the US CIB business, considering the people, process, data, system and policy impacts. Provide advice to the business on AML requirements across customers, products and transactions. Provide oversight and challenge to first-line financial crime-related activities. Coordinate with other US and global FCRM teams, business and operations stakeholders, and risk and audit partners to ensure successful delivery of program requirements. Assist with regulatory and audit requests. Provide backup to general AML compliance functions as needed. Qualifications/Skills/Experience Excellent verbal and written communicator with detailed oriented nature and strong editing skills. Bachelor’s degree required (exceptional candidates demonstrating an equivalent combination of relevant education and experience will be considered). Graduate level study preferred. 10 or more years of knowledge and experience in AML compliance including within Wholesale financial services, preferably with a large financial institution. Must have strong subject matter knowledge of financial crime risks and controls relating to corporate and investment banking, with a preference for candidates also displaying this knowledge through transformation or other change initiatives. Demonstrated knowledge of and experience overseeing transaction banking products is highly desirable. Ability to identify and evaluate potential risks to the Firm and escalate accordingly. Strong project management and strategic thinking skills. Proficiency with Microsoft Word, Excel and PowerPoint. ____________________________________________ The AML Advisory job family consists of Global Anti-Money Laundering (GAML) teams that act as trusted advisors to assigned Business Lines and Corporate Office areas. These teams also act as the primary contact providing ongoing counsel and support on Anti-Money Laundering (AML) and Anti-Terrorist Financing (ATF) matters. The Advisory team supports the AML compliance framework by providing guidance to, and oversight of, the Business’ implementation of current Anti-Money Laundering and Anti-Terrorist Financing (AML/ATF) polices and standards. The GAML teams ensure that Business Lines’ AML/ATF program activities align with TD’s corporate risk philosophy and strategic direction. Depth & Scope Helps to oversee and lead a large and/or highly complex and diverse AML/ATF function for an area of significant risk, complexity or scope while helping to grow talent and develop skills and capabilities to achieve career goals, support project/initiative success and achieve business results Provides oversight of programs for an assigned portfolio of complex and dynamic TD businesses and legal entities Maintains highly specialized expertise and in-depth knowledge to manage AML/ATF programs for multiple, significant complex businesses, functional areas and/or global business lines Provides coaching, mentorship and guidance to practitioners, business and executives within area of expertise Helps to oversee the overall discipline and strategy for the AML/ATF area while aligning to the enterprise best practices Frequently interacts with senior/executive management Acts as a key contact for business management, regulators and external/internal auditors, dealing with a broad range of issues including non-routine information Focuses on longer-range planning for functional area (e.g. 12 months or greater) May manage and prioritize multiple projects at a given time May act as highest point of team escalation for resolution and provide direction to resolve issues or escalate Education & Experience Undergraduate degree 10+ years relevant experience Customer Accountabilities Provides strategic direction on a broad and diverse range of complex AML/Sanctions/ABAC program activities Determines and decides policy and/or action based on internal and external industry developments for AML Programs Proactively advises the business of new and changed AML regulatory and/or policy changes and articulates the impact to their processes and controls Contributes to the development and implementation of AML Compliance programs related to all aspects of AML and ATF laws Works with senior business unit management/partners to develop proactive strategies, tactics, policies and programs to effectively manage regulatory/compliance issues Meets with business partners and business leaders to determine AML strategies and helps to direct the compliance culture Provides insight, guidance and recommendations on AML subject matter, regulatory and industry issues and acts as a specialized resource to other departments based on subject matter expertise, including but not limited to: Customer identification and due diligence, enhanced due diligence, policy, governance, training and/or compliance assurance and testing Provides oversight on day-to-day operations of the department and participates in enterprise-wide and/or Customer-focused special projects on behalf of the DGAMLO team Delivers relevant subject matter expertise and AML/ATF advice to business management Maintains oversight (via review and approval) of all functions and accountabilities related to management reporting and analysis Coordinates the DGAMLO team’s participation in/responses to regulatory examinations and internal/external audits, reviewing, packaging and tracking and providing information for department executive Shareholder Accountabilities Develops and oversees the implementation of business line policies and DGAMLO team procedures Works closely with leaders to develop and operationalize the business plan and deliver on AML/ATL/Sanctions/ABAC programs across the enterprise Plans and executes on strategic activities, reviews and communicates results and adjusts tactics accordingly Proactively identifies key business opportunities, researches and recommends enhancements/modifications, develops strategies to achieve recommendations and works closely with team to execute and implement Understands TDBG issues/parameters and guides others to protect the reputation and interests of TDBG by adhering to operating standards and processes related to AML/Sanctions/ABAC Coordinates and supports team and business AML/ATF related activities as necessary Provides oversight on enterprise-wide annual risk assessment process as required Protects the interests of the organization – identifies and manages risks, and escalates non-standard, high-risk transactions/activities as necessary Keeps current on emerging issues, trends and evolving regulatory requirements and assesses potential impacts Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite Liaises with regulatory and law enforcement agencies on AML examinations and related inquiries Helps to ensure that employees are building and enhancing their knowledge and expertise; employees assume responsibility in minimizing operational and regulatory risk by complying with Bank policy and Code of Conduct Employee/Team Accountabilities Contributes to the development of business line and/or enterprise functional strategic priorities within operational area or field of specialty Shares knowledge, information, skills and subject matter expertise among the team and ensures the timely communication of issues; encourages good working relationships with other functions and teams Supports an environment where team freely escalates business challenges; facilitates change through positive reinforcement of milestones and successes Helps to establish and foster 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 your business area/function and the Bank, both internally and/or externally Physical Requirements Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100% Domestic Travel – Occasional International Travel – Occasional Performing sedentary work – Continuous Performing multiple tasks – Continuous Operating standard office equipment - Continuous Responding quickly to sounds – Occasional Sitting – Continuous Standing – Occasional Walking – Occasional Moving safely in confined spaces – Occasional Lifting/Carrying (under 25 lbs.) – Occasional Lifting/Carrying (over 25 lbs.) – Never Squatting – Occasional Bending – Occasional Kneeling – Never Crawling – Never Climbing – Never Reaching overhead – Never Reaching forward – Occasional Pushing – Never Pulling – Never Twisting – Never Concentrating for long periods of time – Continuous Applying common sense to deal with problems involving standardized situations – Continuous Reading, writing and comprehending instructions – Continuous Adding, subtracting, multiplying and dividing – Continuous The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes. Who We Are TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day. Our Total Rewards Package Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as 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, and reward and recognition. Learn more 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 If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals. Training & Onboarding We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role. Interview Process We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call. Accommodation TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law. If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process. Seniority level Seniority level Director Employment type Employment type Full-time Job function Job function Finance and Sales Industries Investment Banking Referrals increase your chances of interviewing at TD Securities by 2x Sign in to set job alerts for “Director Investment Banking” roles. 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Job Tags

Full time, Work at office, Local area, Work from home, Relocation, Flexible hours,

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