Tom Guard
Risk and Compliance | Proven Leader | Continuous Improvement Mindset | Data Driven Decisioning | Resource Thoughtful Risk Mitigation | Process Governance
- Role
- Sr Manager, Aml Operations at TD
- Location
- Charlotte, NC, US
- LinkedIn followers
- 500 followers
About Tom Guard
Experienced Vice President, Risk and Compliance Leader with certification and license…
Experience
Sr Manager, Aml Operations
Apr 2025 — Present · Charlotte, NC, US
Lead a team responsible for supporting the capabilities of platforms used by lines of business within Financial Crimes Risk Management Collaborate with Project Managers on platform enhancements to assess risk to lines of business and develop testing and validation strategy for implementation Coordinate and prioritize continous improvement initiatives amongt team members.
Education
UNC Charlotte
Bachelor's degree
1998 — 2000
UNCG
Business Administration and Management, General
1996 — 1997
Skills
- Encryption
- Series 7
- Financial Risk
- Sharepoint
- Microsoft Excel
- Series 65
- Series 24
- Series 63
- Mutual Funds
- Series 53
- Finra
- Access
- Financial Services
- Crm
- Digital Imaging
- Securities Regulation
- Securities
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