Centralized Governance & Control Specialist - AML Testing/QA Analyst (US)

Work Location:

Charlotte, North Carolina, United States of America

Hours:

40

Pay Details:

$91,000 - $145,600 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:

Governance & Control

Job Description:

This role manages a portfolio of governance and control activities for moderately complex or high-risk business or functional area and implements policies / processes and/or initiatives to meet governance and control guidelines. Acts as a technical lead on key control initiatives. This position will be responsible for supporting the development and execution of the Centralized Governance & Controls (CG&C) AML testing and Quality Assurance (QA) program, including AML/CTF, Sanctions, and Anti-Bribery coverage for first line owned functions. The individual in this role will be accountable for leading and conducting independent testing and quality assurance reviews to ensure operational risk and compliance requirements related to financial crimes are adhered to and supporting the results with robust workpaper documentation.

Depth & Scope:

• Highly seasoned professional role requiring substantial business knowledge / expertise in a complex field and knowledge of broader related areas 
• Integrates knowledge of the enterprise sub-function’s or business line’s overarching strategy in developing solutions across multiple functions or operations 
• Ability to work collaboratively and build relationships across teams and functions 
• Interprets internal/external business challenges and the industry environment, recommends course of action and best practices to improve products, processes or services 
• Acts as a technical expert / lead integrating cross-function understanding within their own field of specialty; may manage team(s) of related specialists 
• Leads cross-functional teams or projects with significant resource requirements, risk and / or complexity 
• Independently manages end-to-end functional programs  
• Solves or may lead others to solve complex problems; leads efforts or partners with others to develop new solutions 
• Works autonomously as the lead and guides others within area of expertise  

Education & Experience:

• Undergraduate degree preferred 
• Advanced business understanding and knowledge of risk and control functions  
• 7+ years of relevant experience 

Preferred Qualifications:

• Experienced in audit, testing, and/or QA/QC experience using standard risk testing or audit techniques (transactional testing, control testing, re-performance testing, adherence testing, and more)
• Prior experience in performing process deep-dives to assess the adequacy of risk mitigations for financial crimes risk in order to identify assurance testing needs
• Demonstrated experience in testing/auditing/QA of AML (CIP, KYC, etc.), Sanctions, and/or Anti-Bribery Anti-Corruption
• Experience in communicating adverse testing/audit results and drafting issue writeups

Customer Accountabilities:

• Contributes to the strategic direction of the centralized governance and control function and play a key role in the development and implementation of risk strategies in support of the overall business strategy 
• Develops and documents a comprehensive inventory of processes and controls with clearly defined owners and roles and responsibilities for each process and control 
• Participates in the intake of applicable regulation, assessment of impact to the business line, and the comprehensive mapping of associated controls to rules and regulations
• Reviews end-to-end processes and controls and “connect the dots” across issues and control deficiencies across various BUs in order to increase standardization of solutions, processes and controls  
• Leads the integrated execution of policies / procedures / changes across multiple functional areas 
• Provides directio