Promontory Financial Group, LLC

  • AML Operations Manager

    Job Location CA-ON-Markham
    # of Openings
  • Overview

    Promontory Financial Group Canada, an IBM Company, is seeking a dynamic Operations Manager to oversee the growth and assure high quality service for our AML Risk & Compliance Services Operations in Markham, Ontario.

    Promontory Financial Group Canada, an IBM Company, is a leading risk management and regulatory compliance consulting firm focusing on the financial services industry. Our professionals possess unparalleled experience and insight gained through roles in the financial services industry, government, regulatory agencies, and law enforcement, and excel at helping our clients manage risks and resolve critical issues in today’s rapidly changing business environment.

    The Operations Manager directs and manages the daily activities of staff responsible for investigative compliance reviews that assist our clients in meeting and exceeding regulatory expectations in AML, BSA, OFAC sanctions and other areas relevant to today’s heightened regulatory climate. This position provides leadership and coaching to Team Leads and Analysts, ensuring production objectives and performance standards are met against client deliverables.


    This position will play a key role in the overall strategic direction of the company, and work on high priority initiatives in a rapidly growing business by collaborating with Compliance, Executive Management, Finance, HR/Resource Management, Quality Assurance, Sales, and Solutions teams.


    • Provides direct management and supervision to 4 to 7 Team Leads with 50 to 100 front line production staff.
    • Ensures proper engagement planning, staffing, and direction of the operational functions on multiple client engagements and teams.
    • Identifies issues and efficiency opportunities through monitoring of staff production, internal reports, staff meetings and on-going interaction with team.
    • Provides business direction, coaching, and timely execution against contractual deliverables through performance management.
    • Ensures proficient training, staff development, and effective employee relation/recognition is achieved for all operational personnel.
    • Responsible for developing and executing against action plans to effect continuous process improvement.
    • Supports business development initiatives.
    • Authorizes and coordinates changes in staffing schedules through HR/Resource Manager.
    • Leads client meetings with a focus on operational execution for all ongoing engagements as well as overall client relationship management including, serving as the primary point of contact, managing issue escalations as necessary and ensuring contractual adherence for all parties.
    • Partners with senior leaders to support development of growth strategy.
    • Interviews, screens, and makes hiring decisions for Analyst staff in coordination with HR.
    • Partners with other Operations Managers to ensure timely and effective delivery for all operational teams.


    This job description is not intended to be all-inclusive. Employee may perform other related duties as to meet the ongoing needs of the organization.



    • Undergraduate degree in business, accounting, or finance, graduate degree preferred.
    • ACAMS Certification a strong plus.


    Knowledge, Skill and Ability:

    • Minimum 5 years of experience within the financial services industry, regulatory compliance a plus. AML experience preferred.
    • 3-5 years of management experience in a production environment with experience leading multiple teams or departments.
    • Experience with profit and loss management.
    • Strong project management skills and the ability to proactively manage multiple/changing priorities and deadlines.
    • Extensive knowledge of financial services operations. Experience with anti-money laundering and/or asset loan reviews, preferred.
    • Experience developing and managing large scale operational teams.
    • Proven track record of implementing operational process improvement projects.
    • Ability to independently make decisions that contribute to the success of an engagement and the best interest of the company.
    • Strong presentation and leadership skills required.
    • Experience with client relationship management, as well as front-line supervisor development.
    • Must be able to work and thrive in a fast paced, high intensity, high demand, and deadline driven environment.
    • Demonstrate a strong sense of urgency by responding immediately to escalated issues and rapidly changing priorities.
    • Must possess critical thinking, analytical, and problem solving skills to be used in operational planning and evaluation.
    • Ability to deal with highly confidential information in a professional manner.
    • Excellent computer skills; advanced proficiency in Microsoft Office products.



    Promontory Financial Group, an IBM Company, excels at helping clients resolve critical issues, particularly those with a regulatory dimension. Promontory professionals have unparalleled regulatory experience and insight, and provide our clients with frank, proactive advice informed by best practices and regulatory expectations. Promontory is a leading strategy, risk management, and regulatory compliance consulting firm focusing on the financial services industry. Our professionals, with deep expertise gained through decades of leadership at regulatory bodies and Fortune 100 corporations, help entities understand and implement global and national financial services regulation.


    Promontory became a wholly owned subsidiary of IBM in 2016. Our unique domain expertise, combined with IBM’s world-class technology, allows us to resolve challenging national and cross-border issues in banking, securities, commodities, financial instruments, markets, and insurance. PRR offers a competitive salary and comprehensive benefits package which includes medical, dental, 401(k), paid time off, and more.




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