Senior Manager overseeing Compliance Testing for TD Bank's regulatory compliance. Leading a team to ensure regulatory adherence and effective compliance monitoring across business units.
About the role
- Senior Associate supporting compliance solutions for institutional clients in asset management. Delivering regulatory compliance and risk management expertise within a hybrid work environment.
Responsibilities
- Providing day to day support to clients and colleagues in executing compliance, and AML deliverables.
- Undertaking the role of Compliance Officer/MLRO and possibly Risk Officer.
- Develop, initiate, maintain, and revise policies and procedures to ensure compliance with various regulatory requirements.
- Drafting and/or executing a compliance monitoring and testing program and performing deskbased reviews to ensure compliance with regulatory and internal procedures.
- Assisting in promoting the firm at various industry and promotional events or producing certain publications.
- Keeping abreast of relevant laws and regulations.
- Responsible for maintaining, keeping up-to-date, and accurate client files.
Requirements
- The Senior Associate must have a minimum of 3 years’ experience either in Compliance, AML or at the Regulators and preferably educated to degree standard (or equivalent).
- A Senior Associate is expected to obtain an AML or Compliance certificate within 3 months of joining.
- A Senior Associate should be a well-versed candidate, from within the Compliance, AML, and Risk Management space, who can act in a vigorous and independent manner to develop both policy, and culture across the organization.
- Internationally 3rd level professional qualification required.
Benefits
- Commitment to minimum continuing professional development requirements, in accordance with internal and external standards.
- Providing outsourcing, authorization, and projects support to ADGM, DIFC, and onshore firms.
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
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