Senior Manager, KYC Process & Control

Work Location:

United States of America

Hours:

40

Pay Details:

$110,760 - $166,400 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. The included salary range for this role takes into account multiple factors that are considered in making compensation decisions. The base pay actually offered may vary based upon candidate's skills and experience, job-related knowledge, licensure and certifications, geographic location, and other specific business and organizational needs. As TD puts career development at the forefront of our colleague experience, it is not typical for an individual to be hired at or near the top of the range for their role.

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:

Business Management, Strategy & Support

Job Description:

The Senior Manager, Process & Control oversees and leads build out of processes and controls for the enterprise, part of a new KYC function accountable for designing and delivering KYC capabilities, and driving formalization of LOB process, controls, and procedures to comply with the enterprise KYC requirements.
 

Depth & Scope:

• Provide people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork, and handling any/all disciplinary actions, as required.

• Design and implement KYC processes that align with regulatory requirements and related TD policies.

• Partner with 2LOD, LOBs and KYC Product team to design and implement KYC controls to ensure accurate and complete KYC documentation and verification processes.

• Own the governance, adherence, and alignment of effective controls against the KYC standards.  

• Identify and execute on opportunities to improve effectiveness, control oversight, efficiencies, and client experience working with internal stakeholders and partners.

• Evaluate levers that may include lean/process reengineering, automation, data and trigger analysis, and tools to support operational performance improvements.

• Work closely with Internal and External audit teams to meet documentation requirements.

• Ensures strong engagement with the KYC operations team, LOBs and 2LOD.

• Provides support for execution of process and controls roadmap aligning to KYC vision.

• Effectively identifies and manages stakeholder engagement and impacts across the enterprise for KYC.  

• Provides controls and risk input as needed into end-to-end integrated plan for KYC.

• Support strategies and plans for resource management, requirements management, change management, business testing and quality assurance, in line with control objectives.

Education & Experience:

• 4-year degree or equivalent experience

• 10+ years of related experience

• Demonstrated track record of cost, quality and schedule control of projects

• Proven ability to effectively manage projects

• Strong negotiation and conflict resolution skills

• Detail oriented

• Ability to exercise sound judgment

• Excellent oral and written communication skills

• Strong teamwork and client skills

• Highly motivated

• In-depth knowledge of construction standards, work methods, equipment and materials, operating practices and applicable codes

• PC proficiency in MS Access, MS Word, MS Excel

• Highest personal & professional integrity & standards, & advance TD's vision & protect the brand

• Excellent judgment, including achieving the right risk/reward balance

• Transparent communicator & respected TD representative, both internally and externally

• Advance TD's leadership development, employee experience & diversity agenda

• Role-models behaviors consistent with TD's leadership profile

Preferred Qualifications :

• Bachelor's degree required; Graduate degree preferred.

• 10+ years of relevant experience.

• Significant experience in KYC, AML or compliance roles with a strong focus on process and control management.

• Organizational awareness and sensitivity.

• Proven skills in assessing and prioritizing based on business impact, need and risk factors.

• Strong written and verbal communication skills, including writing concise business messages, d