Business Control Senior Manager overseeing audits and compliance with regulatory bodies at TD. Coordinating Anti - Money Laundering and Bank Secrecy Act compliance and managing audit findings.
About the role
- Senior Associate in Capital One’s Anti-Money Laundering Program assessing money laundering and fraud risk exposure. Collaborating with business partners and compliance stakeholders to ensure risk is managed effectively.
Responsibilities
- Assess the inherent money laundering, sanctions, and fraud risk and controls through the established risk and control framework with support and oversight from the team lead.
- Analyze insights provided by data analysts to represent the AML inherent risk of Capital One businesses.
- Assess the company's collective ability to monitor and control inherent AML and sanctions risk.
- Develop and socialize risk assessment results with key stakeholders.
- Conduct detailed reviews of high risk areas.
- Suggest risk mitigation strategies to business areas and other control functions.
- Support continuous improvement of the overall Money Laundering Risk Assessment (MLRA) framework through proposals of enhancements.
- Stay abreast of all applicable laws, regulations and emerging risks for consideration in the risk assessment process.
- Understand and analyze the enterprise customer base, products, services, transactions, geographies, business initiatives, processes, strategies and associated controls for assigned assessable units.
- Effectively communicate assessment results in a narrative format.
Requirements
- High School Diploma, GED or equivalent certification
- At least 2 years of experience in Compliance, Audit or Legal
- At least 2 years of Anti-Money Laundering (AML) experience
- Bachelor's Degree (preferred)
- 3+ years of experience in a Risk Management or Compliance role (preferred)
- Certified Regulatory Compliance Manager (CRCM), Anti-Money Laundering Specialist (ACAMS), or Certified Information Privacy Professional (CIPP) or certification (preferred)
- 3+ years of Technical Writing experience (preferred)
Benefits
- comprehensive, competitive, and inclusive set of health benefits
- financial benefits
- other benefits that support total well-being
Job title
Job type
Experience level
Salary
Degree requirement
Location requirements
Senior FCRM Testing Analyst executing independent testing of AML/ATF controls across TD's business lines. Leading engagements and overseeing testing phases in financial crime risk management.
Financial Crime Risk Analyst supporting FCRM programs and processes at TD. Analyzing risk and compliance with regulatory requirements while collaborating with key stakeholders.
KYC Analyst II conducting research and analysis related to Know Your Customer program at TD Bank. Maintaining compliance records and performing quality control for customer information.
Consultant in Compliance investigating suspicious incident referrals for Lincoln Financial. Conducting thorough investigations and preparing documentation for regulatory reporting.
AML Senior Investigator II supervising anti - money laundering processes at Capital One. Leading investigations and managing operational workflows for compliance teams.
Analyst focusing on AML transaction monitoring for Nium, the leader in real - time cross - border payments. Joining a global team to ensure compliance and strengthen surveillance frameworks.
Decision Science Analyst Lead providing analytical support and insights for business areas at USAA. Utilizing advanced statistical methods for strategic decision - making and collaboration with cross - functional teams.
Senior Partner overseeing Financial Crime Compliance assurance framework and activities at BOQ Group. Responsible for strategic oversight and independent assurance of AML/CTF and risk management controls.
Senior Partner in Financial Crime Compliance leading risk assessment and regulatory engagement for BOQ Group. Overseeing policies and compliance with AML/CTF obligations within the financial services sector.