QUALIFICATIONS

• Undergraduate degree/college diploma
• 5+ years sanctions related experience and 3+ years people management experience
• Proven experience in managing and developing diverse teams.
• Proven record of managing under stressful situations
• Proven track record of successful stakeholder engagements
• Strong analytical and problem-solving skills.

WHO WE ARE:

TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.

Operational Management

• Directly lead a team of sanction screening analysts within the Message Filter Group.
• Act as an operational lead to provide oversight and ensure the team delivers on its responsibilities.
• Possess full knowledge of the group’s operational processes and controls; manage the group to execute fully on its mandate and compliance to operational controls.
• Establish indicators to assess the health of the operations; align management of the operations to these indicators to attain optimal performance levels.
• Hold the team accountable for its role in delivering TD’s sanction screening mandate and for meeting identified qualitative and quantitative departmental metrics.

Team Leadership and Development

• Work closely with the Senior Manager to provide input to the development of the group’s business plan and own assigned tasks to assist in the execution of the plan.
• Lead, coach and develop a diverse and high performing team to achieve operational, performance and career development objectives.
• Grow team expertise to align with business/operational demands; assess team’s skills and capabilities and continually look for ways to provide and enhance the value delivered.
• Identify processes for establishing performance objectives for the team. Monitor, report, address and/or reward performance in a timely manner.
• Cultivate a work environment that supports team cooperation and drives delivery of the team’s goals.

Stakeholder Engagement:

• Act as key liaison with partners and external groups to provide subject matter expertise and deliver business objectives.
• Act as an escalation contact for issues raised by internal groups/stakeholders and external partners. Ensure appropriate reporting and escalation of issues occur based on risk profile.
• Work closely with Centralized Sanctions Group (a division of Financial Crime Risk Management) to deliver the Message Filter Group’s mandate as it relates to TD’s enterprise sanctions policy.

Risk and Compliance Management

• Ensure sanction screening processes are aligned with TD’s enterprise sanctions standards, as communicated by Centralized Sanctions Group.
• Collaborate with the Risk and Compliance teams to implement and monitor controls for fraud detection and other compliance requirements.
• Identify operational risks and implement strategies to mitigate them, maintaining strict adherence to operational standards.
• Liaise with internal audit and the TDS Global Operations 1B team to facilitate audit and pRCSAs reviews.
• Own the escalation of technology/operations related incidents to the group manager (and beyond where necessary) and respective partners/business units (Centralized Sanctions Group, TDS Technology Support, etc.). Complete operations risk events reporting as needed.