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Senior Manager, Compliance Governance & Operations (US)

Work Location:Mount Laurel, New Jersey, United States of AmericaHours:40Pay Details:$110,760 - $166,400 USDTD 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:ComplianceJob Description:Senior Business Application Manager - AML PlatformsJob Description SummarySenior Business Application Manager for AML Platforms is responsible for supporting implementation, enhancement and maintenance of AML platforms. This includes identifying and analyzing potential transaction monitoring typologies and risks for the detection of AML suspicious activity in alignment with policies, standards, and procedures for oversight of the transaction monitoring systems. Senior Business Application Manager for AML Platforms is accountable for coordination with technology teams on planning for system implementations and enhancement release cycles, ongoing tuning and maintenance, defect prioritization and management, integration with third party systems and external controls.Depth & Scope:• Assumes functional responsibilities for transaction monitoring typologies and risk factors, including accountability for the scenarios and corresponding activities• Establishes clear and formal transaction monitoring scenario and risk factor review cycles• Coordinates with technology partners on the planned and unplanned production releases with focus and ownership of scope, approvals, UAT and signoff.• Coordinates with technology partners for prioritization of defects and change requests.• Establishes clear escalation processes to elevate concerns whenever identified• Develops and implements a formal process to evaluate coverage through a new system and plan for decommissioning of older systems accounting for overlap and rationalization of gaps.• Manages a team of AML professionals to accomplish established goals and conduct personnel duties for team (e.g. performance evaluations, hiring and disciplinary actions)Education & Experience:• Undergraduate degree required• 10+ years of relevant experience• Relevant Post Graduate degree or professional designation preferred• Demonstrated experience and success in complex AML transformational technology change and change management processes and practices• Understanding of GAML systems such as Actimize, SAS, Oracle, Patriot Officer, BAE Detica, etc.• Proven ability in leveraging deep subject matter expertise to align teams to a central vision, while listening and engaging others to provide input in the shaping of that vision• Proven ability to manage and motivate a diverse group of professionals• Strong collaborator who engages colleagues, business partners, external stakeholders, and employees• Skillful communication (written and verbal), negotiation and partnership skills to balance stakeholder input but remain objective to reach the right outcome - ability to stay resilient under pressure• Robust organizational skills with the ability to work in a fast-paced environment and manage multiple deadlines and priorities• Familiarity with AML/ATF, sanctions, and ABAC regulatory regimes a plus (US and Canada)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 PackageOur 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 moreAdditional 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 DevelopmentIf 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 & OnboardingWe will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.Interview ProcessWe'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.AccommodationIf 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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What You Should Know About Senior Manager, Compliance Governance & Operations (US), TD Bank

Are you ready to take your career to the next level as a Senior Manager, Compliance Governance & Operations at TD? Located in the vibrant Mt Laurel Township, NJ, this role is more than just a position; it's an exciting opportunity to lead in the field of anti-money laundering (AML) platforms. As a Senior Manager, you will play a pivotal part in implementing and enhancing AML systems, working closely with technology teams to optimize the transaction monitoring processes. Here, you'll have the chance to not only analyze transaction monitoring typologies but also establish review cycles and coordinate vital production releases. Your leadership skills will be put to the test as you manage a dynamic team of AML professionals, guiding them towards achieving shared goals while fostering an environment of collaboration and innovation. With a deeply rooted culture at TD that focuses on colleague development and customer experience, you'll find a supportive atmosphere that encourages growth both personally and professionally. Salary packages are competitive, ranging from $110,760 to $166,400, and are designed to reward your skills and experience. If you're looking for a place that values your input and offers a comprehensive total rewards package, including various benefits for your well-being, then TD could be the perfect fit for you!

Frequently Asked Questions (FAQs) for Senior Manager, Compliance Governance & Operations (US) Role at TD Bank
What are the primary responsibilities of a Senior Manager, Compliance Governance & Operations at TD?

As a Senior Manager, Compliance Governance & Operations at TD, you'll oversee the implementation and enhancement of anti-money laundering (AML) platforms. This includes a deep dive into transaction monitoring typologies, coordinating with tech teams, managing release cycles, and ensuring compliance with policies and procedures. Your day-to-day will involve not just managing a team of AML professionals but also establishing review cycles for transaction scenarios, thereby contributing significantly to the organization's compliance framework.

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What qualifications are needed for the Senior Manager, Compliance Governance & Operations position at TD?

To be considered for the Senior Manager, Compliance Governance & Operations position at TD, candidates must hold an undergraduate degree and have at least 10 years of relevant experience in AML operations. A relevant postgraduate degree is preferred, alongside hands-on experience with AML transformational technology. Strong collaboration skills and the ability to engage with a diverse range of stakeholders are essential to succeed in this role.

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How does TD support the professional growth of a Senior Manager, Compliance Governance & Operations?

TD is devoted to fostering professional growth for its Senior Manager, Compliance Governance & Operations through a variety of development tools. You’ll have access to mentorship programs, regular performance reviews, and tailored career development conversations. With ongoing training opportunities and access to an online learning platform, TD ensures that you’ll have everything you need to refine your skills and advance in your career.

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What does the team dynamic look like for a Senior Manager, Compliance Governance & Operations at TD?

At TD, the team dynamic for a Senior Manager, Compliance Governance & Operations is collaborative and innovative. You will manage a team of skilled AML professionals, encouraging open communication and idea sharing. This role emphasizes teamwork and a spirit of shared purpose, allowing team members to contribute their viewpoints and enhance the overall approach to compliance governance.

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What kind of work-life balance can a Senior Manager, Compliance Governance & Operations expect at TD?

TD is committed to ensuring a healthy work-life balance for its employees, including those in the Senior Manager, Compliance Governance & Operations role. With flexible working hours and generous paid time off, TD prioritizes your well-being. The company understands that a balanced life enhances productivity and job satisfaction, making it an ideal workplace for professionals seeking both career advancement and personal fulfillment.

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Common Interview Questions for Senior Manager, Compliance Governance & Operations (US)
Can you explain your experience with AML transformational technology as a Senior Manager?

When responding to this question, illustrate specific technologies you have worked with, such as Actimize or SAS. Talk about the projects you've managed, emphasizing outcomes and what you've learned regarding AML systems, innovative approaches, and overcoming challenges during transformational processes.

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How do you prioritize tasks and manage deadlines in a fast-paced compliance environment?

Discuss your planning techniques, such as using project management tools, and how you involve your team in setting priorities. Highlight examples from past experiences where you successfully managed competing deadlines while maintaining compliance and operational efficiency.

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What strategies do you use to communicate effectively with diverse teams and stakeholders?

To answer this, share your methodology for fostering open communication, such as organizing regular meetings, using collaborative tools, and seeking feedback. Provide examples of how adopting a clear communication style helped you align your team towards a common goal.

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Describe a challenging situation you faced in compliance and how you handled it.

Choose a specific incident and outline the context, your actions, and the results. Focus on what you learned from this experience and how it shaped your approach to future challenges in compliance governance.

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How do you keep updated on AML regulations and trends?

Discuss your commitment to ongoing education through attending webinars, reading industry publications, and being involved in organization associations that focus on AML compliance. Highlight how staying informed has positively impacted your previous roles.

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Can you describe your management style when leading an AML team?

Explain your management philosophy, focusing on collaboration, empowerment, and accountability. Give examples of how you have adapted your style to meet the needs of your team members and create a motivating work environment.

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What role does risk assessment play in your approach to compliance governance?

Discuss how you integrate risk assessment into compliance processes, illustrating its importance in identifying and mitigating potential issues. Provide examples of assessments you have conducted and the impact they had on your organization's compliance efforts.

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How do you ensure that your team meets compliance guidelines effectively?

Talk about implementing regular training sessions, performance evaluations, and using dashboard reporting to monitor team progress. Share an example where your oversight led to improved compliance metrics within your team.

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How would you approach coordinating with technology partners on system enhancements?

Explain your process for engaging with tech partners, including your approach to collaboration, scope definition, and managing expectations. Share a relevant experience where your coordination led to successful enhancements in compliance systems.

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What metrics do you consider essential for measuring the success of compliance operations?

Discuss key metrics such as the number of suspicious activity reports (SARs), time taken for investigations, and compliance audit results. Explain how these metrics help identify areas of improvement and demonstrate the effectiveness of compliance initiatives.

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December 8, 2024

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