Senior FCRM Compliance Officer - Prime Brokerage Oversight

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** Position:
** Senior FCRM Compliance Officer
* Demonstrate governance, control and risk management behaviors aligned with TD policies and practices.
* Support oversight activities for the US Prime Brokerage business, including new business and product initiatives, customers and transactions.
* Develop working relationships with line of business and operational support partners by providing oversight guidance on various issues.
* Timely recognition of issues or concerns requiring escalation.
* Assist with onboarding inquiries for prospective US Prime Brokerage customers.
* Where required, advise Investigations' reviews of potentially suspicious activity, providing subject-matter knowledge to support the investigations process.
* Gain working knowledge of other business lines within the TDS space.
* Participate in the annual enterprise-wide AML/BSA/Sanctions/ABAC risk assessment process, as required.
* Conduct targeted AML/OFAC training, as appropriate.
* Conduct periodic testing of AML functions as mandated by the Periodic AML Testing Program.
* Participate in special projects, including assisting with adherence to enterprise-wide initiatives including global policies and governance.
* Assist with regulatory and audit requests.
* Provide backup to general AML compliance functions such as surveillance reviews, section 312 reviews and TD affiliates due diligence reviews.
* Complete all tasks within required time frames.
* Bachelor’s degree required (exceptional candidates demonstrating an equivalent combination of relevant education and experience will be considered).
* 5 to 7 years of knowledge and experience in FCRM compliance, preferably within the prime brokerage division of a large financial institution.
* Strong verbal and written communicator with detailed oriented nature.
* Strong subject matter knowledge of compliance risks and controls for a financial institution; focus on Anti-Money Laundering compliance.
* Ability to identify and evaluate potential risks to the Firm and escalate accordingly.
* Project management and strategic thinking skills.
* Working knowledge of one or more sanctions screening and AML surveillance applications is desirable.
* Proficiency with Microsoft Word, Excel and PowerPoint.
* Works independently as the senior officer and may coach and educate others
* Individual contributor role providing specialized expertise or may lead a small team of specialists
* Considered a subject matter expert within a given area working closely with business partners, auditors and/or regulators
* Contact for business management, regulators and external/internal auditors with assistance from Management, dealing with routine information
* Provides day to day interaction and support to Management
* Oversees/executes and/or performs tasks from end to end
* Focuses on short to mid-term issues (e.g. monthly-quarterly)
* Bachelors degree or progressive work experience
* 5-7 Years of related experience
* Domestic Travel – Occasional
* International Travel – Never
* Performing sedentary work – Continuous
* Performing multiple tasks – Continuous
* Operating standard…