Senior Sanctions Advisory Analyst
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The Global Anti-Money Laundering (GAML) department is accountable for establishing the Bank's Anti-Money Laundering and Anti-Terrorist Financing Program to ensure that all businesses remain compliant with regulatory requirements in the jurisdictions in which TDBG operates.
Compliance with applicable economic sanctions and bribery and corruption regulations is within the scope and mandate of GAML's Global Sanctions Unit (GSU). The GSU reports to TD Bank Group's Deputy Head of Sanctions and is responsible for administering TD's Sanctions and Anti-Bribery/Corruption compliance program across the enterprise. Job Description
The GSU Advisory team acts as a trusted advisor to all Business Lines and Corporate Office areas and also acts as the primary contact providing ongoing counsel and support on sanctions and Anti-Bribery/Anti-Corruption (ABAC) matters. The Advisory team supports the GSU compliance framework by providing guidance to, and oversight of, the Business\u2019 implementation of current sanctions and ABAC polices and standards. The team ensures that Business Lines\u2019 sanctions and ABAC program activities align with TD\u2019s corporate risk philosophy and strategic direction.
The Senior GSU Advisory Analyst reports to the Senior Manager, GSU Advisory and provides a range of research/guidance/support/advice to ensure that strong sanctions and ABAC controls and processes are in effect to mitigate inherent associated risks. The Senior GSU Advisory Analyst will be accountable to:
- Ensure that Business Lines/Corporate are aware of the sanctions and ABAC legislation and regulations under which they are governed.
- Acquire and apply expertise in the sanctions and ABAC disciplines, providing guidance to GAML and business partners on day-to-day sanctions and ABAC matters based on regulatory compliance requirements and industry best practice.
- Handle matters escalated due to potential sanctions and ABAC concerns in accordance with established processes and protocols and assist in ensuring that the business takes appropriate steps to address those customers/activities.
- Provide/execute skilled sanctions and ABAC research, risk assessment, reporting and/or analytical support in a timely manner.
- Assist/partner in the development and implementation of appropriate sanctions and ABAC policies, processes and controls.
- Prepare and deliver management reporting necessary to ensure accurate and thorough measurement of the risk factors present in various lines of business/customers/products/services
- Analyze risk exposure characteristics and make recommendations for enhancements or changes based on changes in the regulatory environment or business processes.
- Proactively identify matters which require additional attention (e.g., adequacy of sanctions and ABAC processes and controls), present objective and independent opinion on opportunities to enhance those controls in accordance with regulatory and internal requirements and liaise with the appropriate GAML and business partners to resolve.
- Review and provide feedback on business line policies and Business Segment AML Team procedures.
- Analyze sanctions and ABAC compliance requirements and ensure they are properly written into requirements for business projects and approved at the appropriate levels.
- Keep current on, and report, emerging issues and trends in the sanctions and ABAC industry and assess potential impacts.
- Coordinate with AML/ATF partners and business compliance partners to ensure consistency in the application of sanctions and ABAC programs and standards across the enterprise.
- Protect the interests of the organization \u2013 identify and manage risks, and ensure the prompt analysis and escalation of non-standard, high risk issues, monitoring to thorough resolution.
- Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues/points of interest
- Provide thought leadership and/or industry knowledge for own area of expertise in own area and participate in knowledge transfer within the team and business
- Participate in personal performance management and development activities, including cross training within own team
- Contribute to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices
- Lead, motivate and develop relationships with internal and external business partners/stakeholders to develop productive working relationships
- Contribute to a fair, positive and equitable environment that supports a diverse workforce
- Act as a brand ambassador for your business area/function and the bank, both internally and/or externally
- Specialist-level professional role requiring in-depth knowledge/expertise in sanctions and working knowledge of broader related areas, including ABAC and AML/ATF
- Provide advanced analysis and/or specialized reporting to support business partners, functional areas or centers of expertise
- Provide sanctions and ABAC advice on straightforward projects or change initiatives
- Integrate the broader organizational context into advice and solutions within the sanctions and ABAC area
- Understand the industry, competition and the factors that differentiate the organization
- Lead projects with moderate to complex risks and resource requirements; may lead end-to-end processes or functional programs
- Contact for business management dealing with non-routine information.
- Recommend and implement solutions within own area of responsibility.
- May need to coordinate/integrate work with other areas, as needed
- Identify and lead problem resolution for complex requirements related issues at all levels
- Undergraduate degree
- 5\u002B years relevant experience
- Proficient knowledge of variety of products and services, systems, standards, procedures, laws, rules and regulations
- Knowledge of current and emerging trends
- Skills in creating appropriate analysis and specialized reporting
- Skill in using analytical software tools, data analysis methods and reporting techniques
- Skill in using computer applications including MS Office
- Ability to communicate effectively in both oral and written form
- Ability to work collaboratively and build relationships
- Ability to work successfully as a member of a team and independently
- Ability to exercise sound judgment in making recommendations or decisions
- Ability to analyze, organize and prioritize work while meeting multiple deadlines
- Ability to handle confidential information with discretion
At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live and serve. If you require an accommodation for the recruitment/interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.