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Head of Audit Sanctions, Anti-bribery, Fraud, Insider Risk and TDS FinCrime

Employer
TD Bank Group
Location
New York, USA
Salary
Competitive
Closing date
Jul 11, 2024

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Job Function
Accounting/Audit/Tax
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
Work Location:
New York, New York

Hours:
40

Pay Details:
$230,000 - $300,000 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. The included salary range for this role takes into account multiple factors that are considered in making compensation decisions. The base pay actually offered may vary based upon candidate's skills and experience, job-related knowledge, licensure and certifications, geographic location, and other specific business and organizational needs. As TD puts career development at the forefront of our colleague experience, it is not typical for an individual to be hired at or near the top of the range for their role.

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.

Line of Business:
Audit
Job Description:

The Head of Audit Sanctions, Anti-bribery, Fraud, Insider Risk and TDS FinCrime is responsible for overseeing, planning, executing the audit activities for Financial Crimes for the above referenced TD Bank US segments and entities and oversees a team that is expected to maintain strong relationships with stakeholders as it develops a highly complex risk based audit plan which is delivered over the course of the year, within the organization's operating policies.

This role requires highly specialized financial crimes audit knowledge as well as strong understanding of the various and complex businesses. The portfolio is significant, complex, and diverse which requires a specialized leadership role to oversee the audit for this group.

Depth & Scope:
  • Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required
  • Leads the audit efforts in the US Financial Crimes functions across TD Bank's US businesses. This includes creating and maintaining the Audit Universe, defining the annual audit plan and execution
  • Oversees, designs and develops the audit plan, risk assessment, reviewing and approving the scope of audits; ensuring audits are completed in adherence with Audit Division standards and reporting results to Senior Management
  • Liaises with other Financial Crimes Audit and TD Audit groups to the extent that corporate initiatives or projects impact audit activities within the Business Segments
  • Supports the US Chief Audit Executive opinion to the Audit Committee on the effectiveness of US Bank-wide, governance, risk management, and internal controls
  • Maintains an effective yet independent relationship and regular interaction with all Key Stakeholders (as defined in the Audit Mandate), including appropriate escalation of issues
  • Liaises with regulators as it pertains to our Audit mandate
  • Develops a risk-based Audit Plan for Financial Crimes
  • Recommends, supports, & maintains appropriate resources to execute the plan, including the requisite subject-matter expertise
  • Delivers the plan evenly over the course of the year subject to approval of the AMCB Audit Committees and regulatory expectations
  • Adheres to Internal Audit Methodology standards and practices
  • Assesses/identifies all significant control gaps and escalates to appropriate levels and relevant stakeholders where required for areas of accountability
  • Provides clear, comprehensive, and timely reporting on significant control matters
  • Provides ongoing support and ownership for IA divisional priorities such as Talent Management, Talent Acquisition, Colleague Engagement, Career Development, and Diversity & Inclusion
  • Attracts, develops, and retains talent and maintains an active talent pipeline
  • Responsible for programmatic coverage of:
    • US-bank wide Sanctions Program for the 2nd and 1st line
    • US-bank wide Anti-bribery Program for the 2nd and 1st line
    • Fraud risk management in the 2nd line of defense and Global Security & Investigations in the 1st line
    • Insider risk in the 2nd line of defense
    • TD Securities Financial Crimes Program (including, AML, Sanctions, Anti-bribery, Fraud and Insider Risk)
    • NY Branch Financial Crimes Program (including, AML, Sanctions, Anti-bribery, Fraud and Insider Risk)

Education & Experience:
  • Undergraduate degree required; Post Graduate degree preferred
  • Professional Accreditation such as Chartered Professional Accountant, Certified Public Accountant, Certified Anti-Money Laundering Specialist, or Certified Internal Auditor would be an asset
  • 10+ years related experience
  • Previous experience developing and executing on strategies and delivering superior results in both the short and long term
  • Previous experience establishing a best-in-class Financial Crimes Function in a large complex global organization (Financial Services experience is beneficial)
  • Proven ability in leveraging deep subject matter expertise to align teams to a central vision, while also listening and engaging others to provide input in the shaping of that vision
  • Strong people management skills with demonstrated experience in leading high performing teams, proven ability to manage and motivate a diverse group of professionals, the ability to effectively work in teams across the bank with multiple stakeholders, and to influence and align others
  • Strong collaborator who engages colleagues, business partners, external stakeholders, and employees
  • Strong presentation and facilitation skills and strong interpersonal and leadership skills to facilitate working with senior management at all levels
  • Skillful communication (written and verbal), negotiation, and partnership skills to balance stakeholder input but remains objective to reach the right outcome - ability to stay resilient under pressure
  • Demonstrated relationship building skills; able to make things happen through the use of positive influence
  • Expertise in working effectively in teams - requires a track record of working cross-organizationally and with multiple stakeholders at varying levels

Who We Are:
TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing - and so will you.

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

If you are an applicant with a disability and need accommodations to complete the application process, email the 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 application process.

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

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