Senior Manager, GAML Quality Control - #104621

TD Securities

Date: 2 weeks ago
City: Toronto, ON
Contract type: Full time


Senior Manager, GAML Quality Control


Job Category - Primary

Anti-Money Laundering / Compliance & Regulatory Relations

Work Location

TD Centre - South - 79 Wellington Street West

Employment Type




Time Type

Full Time





Workplace Model


Pay Details

We’re committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with your recruiter and ask compensation related questions, including pay details for this role.

Department Overview

Pick up a newspaper, turn on the TV or stream a video and the topic of money crime is everywhere, because it is a threat across the world.

Do you believe the best defense is a good offence? At TD, we're committed to detect and deter anyone from using TD products or services for money laundering and terrorist financing activity. Our dedication is upheld and deployed through four key team functions – Policy, Testing, Advisory and Operations – that together build our Global Anti-Money Laundering (GAML) Program and professional community.

Ready to join us? Here's your chance to define and grow your career in AML (Anti-Money Laundering) Policy.

AML Policy, Training and Governance (PT&G) at TD, operates as a dynamic and global centre of excellence within the Global Anti-Money Laundering function. PT&G provides oversight, advisory services and administrative development and control functions for Policy, Governance, Reporting and Training. Roles in AML PT&G support the enterprise AML program with gold-standard training and guidance on existing and new regulations as needed.

Job Details

The Senior Manager, GAML Quality Control, position reports directly to the AVP, GAML Governance and Control. As part of the GAML Quality Control senior management team, the role holder provides overall strategic direction to the GAML Quality Control Program, Procedures, and Processes. Working closely with the GAML Risk Assessment team other risk partners, the Senior Manager, GAML Quality Control, is responsible for leading and developing a specialist team in establishing the quality control framework and execution capabilities on the enterprise-wide Money Laundering (ML), Terrorist Financing (TF), Anti-Bribery/ Anti-Corruption (ABAC), and Sanctions Risk Assessment Quality Control program for TDBG.

Roles and Responsibilities:

  • Establish and maintain the GAML QC standards and procedures for TDBG's enterprise-wide Money Laundering (ML), Terrorist Financing (TF), Anti-Bribery/ Anti-Corruption (ABAC), and Sanctions Risk Assessment ("Risk Assessment") program, in alignment with the AFC program QC standards
  • Build and develop the Quality Control team with the requisite skills and expertise to perform quality control testing over the Risk Assessment process
  • Develop the annual test plan in alignment with AFC Program Quality Control Standards
  • Manage implementation and annual completion of Quality Control for the Risk Assessment program and ensuring that the QC program is risk-based, comprehensive in scope and customized
  • Interact routinely with Business Segments, Corporate Functions, and GAML Risk Assessment management and staff, in the development, execution, and evaluation of ML-TF, ABAC, and Sanctions controls under assessment
  • Lead relationships with key enterprise partners to effectively manage and communicate recommended corrective actions on issues identified during the QC process
  • Act as a subject matter expert and strategic advisor by providing guidance on QC issues to management, business units and respective teams for area of specialization
  • Support team in staying knowledgeable on emerging issues, trends, and evolving regulatory requirements and assess potential impacts to the Bank and the Risk Assessment program
  • Lead the GAML Quality Control team in the development of record keeping reports and necessary management reporting in keep deliverables of Quality Control
  • Other duties, as assigned.

Job Requirements

  • University degree or equivalent work experience
  • Auditing/Accounting designation and ACAMS certification an asset
  • 10+ years of experience in audit, compliance and/or project management
  • Advanced knowledge of variety of products and services, systems, standards, procedures, laws, rules and regulations
  • Knowledge of risk management environment, standards, regulations and mitigation
  • Advanced ability to lead, plan, implement and evaluate program/project activities to ensure completion
  • Ability to communicate effectively in both oral and written form

Company Overview

Our Values
At TD we're guided by our purpose is to enrich the lives of our customers, communities and colleagues, and share a set of values that shape our culture and guide our behavior. In exchange for how our colleagues show up to help TD succeed, we are committed to delivering a colleague experience grounded in Impact, Growth and a Culture of Care. No matter where you work across TD, we empower you to make an impact at work and in your community, explore and grow your career and be part of our caring and inclusive culture.

Making Your Well-being a Priority
A supportive culture that promotes colleague well-being is core to who we are. At TD, we focus on total well-being with extensive programs to help colleagues assess, manage, and improve their well-being across four core pillars — physical, financial, social and mental/emotional. In addition, we champion a safe and inclusive work environment so colleagues feel a sense of belonging and feel supported in their personal and professional growth. Through our focus on well-being, we know that we can help our colleagues thrive, contribute to our culture of care, and support better business outcomes, because when colleagues feel their best, they're more likely to do their best.

Our Total Rewards Package
Our Total Rewards package reflects the investment we make in our colleagues to help them, and their families achieve their well-being goals. Total Rewards at TD includes a base salary, variable compensation, and several other key plans such as health and well-being benefits including medical, dental, vision & mental health coverage, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs.

How We Work
At TD, we believe in-person connections fuel collaboration and collective creativity. Our workplace experience empowers colleagues to do great work side-by-side at TD locations, while offering flexibility to work remotely where it makes sense for the work and team. Our teams work in one of three workplace models: Hybrid, Onsite and Primarily Remote. Wherever our colleagues are working, they’ll always have access to the TD community and experience our culture of care.

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. 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 Commitment to Diversity, Equity, and Inclusion
At TD, we’re committed to fostering an environment where all colleagues are encouraged to bring their authentic selves to work, experience equitable opportunities, and feel respected and supported. We’re dedicated to building an inclusive workforce that reflects the diversity of the customers and the communities in which we live and serve.

Your accessibility is important to us. Please let us know if you’d like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.

How We're Helping Make an Impact in Communities
TD has a long-standing commitment to help drive progress towards a more inclusive and sustainable future. That’s why we launched the TD Ready Commitment in 2018, now a multi-year North American initiative. Under the TD Ready Commitment, we are targeting a total of $1 billion by 2030 in community giving four key, interconnected drivers of change: Financial Security, Vibrant Planet, Connected Communities, and Better Health. It’s our goal to help support change, nurture progress, and contribute to making the world a better, more inclusive place for our customers, colleagues, and communities.

We look forward to hearing from you!

Job Family

AML Policy, Training and Governance

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