Senior Manager, Sanctions Escalations Position Available In Cumberland, Maine

Senior Manager, Sanctions Escalations at TD Bank in

Portland, Maine, United States Job Description Work Location:

Mount Laurel, New Jersey, United States of America Hours:

40

Pay Details:

$110,760 – $178,880 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.

Line of Business:

Financial Crime Risk Management Job Description:

The Senior Manager, Financial Crime Risk Oversight oversees the team and leads 2nd-line oversight activities and monitoring of the AML/ATF/Sanctions/ABAC compliance programs for covered TD businesses and legal entities, including managing critical program initiatives and handling complex/high-risk matters and escalations.

Depth & Scope:

+ Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance, supporting compensation decisions, promoting teamwork, and handling disciplinary actions, as required + Supports the development of a high-performance business oversight team as a member of the Leadership team + Oversees and leads a large and/or highly complex and diverse AML/ATF/Sanctions/ABAC function for an area of significant risk, complexity or scope while growing talent, developing skills and capabilities to achieve career goals, support project/initiative success and achieve business results + Provides oversight to 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/Sanctions/ABAC programs for multiple, significant complex businesses, functional areas and/or global business lines + Provides coaching, mentorship and guidance to practitioners, business, executives within area of expertise + Manages and oversees the overall discipline and strategy for the AML/ATF/Sanctions/ABAC area while aligning to the enterprise best practices + Position typically deals with senior/executive management + 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 + Acts as highest point of team escalation for resolution and provides direction to resolve issues or escalate

Education & Experience:

+ Undergraduate degree or equivalent work experience + 10+ years experience

Preferred Skills:

+ Proven experience managing operations teams, including setting and evaluating performance metrics + 5+ years of leadership and people management experience, preferably within financial services or compliance environments + Strong background in sanctions compliance, regulatory expectations, and escalation processes + Demonstrated ability to guide and provide oversight to teams on sanctions regulations + Skilled in defining and driving operational efficiencies across cross-functional teams + Proactive approach to building out action plans, process improvements, and procedural documentation + Track record of identifying opportunities for change and executing with autonomy and accountability + Experience working within a tiered operational model (e.g., Level 1 and Level 2 teams), with a focus on escalation decision-making + Comfortable presenting to senior leadership and engaging with internal and external clients

Customer Accountabilities:

+ Leads and manages a high performing team on delivery of AML/ATF/Sanctions/ABAC compliance programs and culture + Provides guidance, leadership, coaching and development to direct reports to ensure operational results and professional/personal development objectives are achieved + Provides strategic direction on a broad and diverse range of complex AML/ATF/ Sanctions/ABAC program activities + Proactively advises covered TD businesses of new and changed AML/ATF/Sanctions/ABAC regulatory and/or policy requirements and articulates the impact to their processes and controls + Contributes to the development and implementation of AML/ATF/Sanctions/ABAC Compliance programs + Works with senior business unit management/partners to develop proactive strategies, tactics, policies, and programs to effectively manage regulatory/compliance issues + Provides insight, guidance, and recommendations 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 + Manages and provides oversight on day-to-day operations of the department and participates in enterprise wide or Customer focused special projects on behalf of FCRM + Delivers subject matter expertise and AML/ATF/Sanctions/ABAC guidance to business management, including developing and maintaining management reporting and analysis + Coordinates/Manages the 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 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, research, 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 interest of TDBG by adhering to operating standards and processes related to AML/ATF/ Sanctions/ABAC + Provides oversight on risk assessment processes 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/ATF/Sanctions/ABAC examinations and related inquiries + Ensures employees are building and enhancing their knowledge and expertise; and employees assume responsibility in minimizing operational and regulatory risk by complying with Bank policy and

Code of Conduct Employee/Team Accountabilities:

+ Responsible for management of the overall team providing both leadership and guidance + Contributes to the development of business line and/or enterprise functional strategic priorities within their operational area or field of specialty + Leads a high performing team; provides on-going feedback and performance reviews, coaches and develops employees and ensures performance management activities are undertaken and completed for all employees + Leads the process of setting performance objectives for the team; tracks, m