Manager, Compliance Governance & Operations (4358)

Description

KEY ACCOUNTABILITIES

CUSTOMER

Manage a team of Compliance professionals providing oversight and control related advisory services to Compliance partners

Provide guidance, leadership, coaching and development to promote operational results and professional / personal development objectives are achieved

Work with executive team, senior business management / partners to develop proactive strategies, tactics, policies and programs to effectively manage regulatory / compliance issues

Act as key liaison with partners and external groups and provide Compliance subject matter expertise; partner, as necessary, effectively with key stakeholder groups such as AML, Legal, Audit, Risk

Coach to oversee that functional / operational problems are handled appropriately, and participate in the negotiation and resolution of complex and / or escalated issues, where necessary

Lead and develop Compliance enterprise-wide frameworks, policies, standards, procedures in coordination with management in line with TD’s Compliance Program

Take corrective action and recommend or implement changes to procedures, as required

SHAREHOLDER

Lead the team to adhere to enterprise frameworks and methodologies related to overall business management activities

Lead relationships with corporate and / or control functions to promote alignment with enterprise and / or regulatory requirements

Support team in staying knowledgeable on emerging issues, trends and evolving regulatory requirements and assess potential impacts to the Bank

Assess / identify key issues and escalate to appropriate levels and relevant stakeholders and business management where required

Identify, mitigate and report on risk issues per enterprise policy / guidance and ensure appropriate escalation processes are followed

Manage business operations to be in compliance with applicable internal and external requirements (e.g. financial controls, segregation of duties, transaction approvals and physical control of assets)

Lead relationships with business lines / corporate and / or control functions to promote alignment with enterprise and / or regulatory requirements

Lead or contribute to cross-functional / enterprise initiatives as an organizational or subject matter expert helping to identify risk / provide guidance for complex situations

Protect the interests of the organization – identify and manage risks, and escalate non-standard, high risk transactions / activities as necessary

Manage oversight process, risk-based identification and monitoring of related risks and regulatory compliance across the supported functions, while ensuring key controls and processes are effectively managed

Oversee or lead the facilitation and / or implementation of action / remediation plans to address performance / risk / governance issues

Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts

Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite

EMPLOYEE / TEAM

Responsible for management of the overall team providing both leadership and guidance

Contribute to the development of Compliance functional strategic priorities within their operational area or field of specialty

Develops annual and / or long term plans for own area and influences plans well beyond area managed

Provide thought leadership and / or industry knowledge for own area of expertise in own area and participate in knowledge transfer within the team and business unit

Grow team expertise to align with Compliance / enterprise demand and direction; assess team skills and capabilities and continually look for ways to provide and enhance the value delivered

Create and foster a cohesive team, and promote a positive work environment. Lead and follow up on action plans to improve employee experience

Lead the process of setting performance objectives for the team; track, monitor and effectively address and / or reward performance in a timely manner

Manage employees in compliance with all human resources policies, procedures and guidelines of conduct

Share knowledge, information, skills, and subject matter expertise among the team and ensure the timely communication of issues and encourage good working relationships with other functions and teams

Support an environment where team freely escalates business challenges; facilitate change through positive reinforcement of milestones and successes

Recruit for all hires to ensure a highly diverse, qualified workforce to achieve business objectives

Establish and foster a cohesive team; promote a fair and equitable environment that supports a diverse workforce and encourage the team to achieve common goals and objectives

Act as a brand ambassador for your business area / function and the bank, both internally and / or externally

BREADTH & DEPTH

Provide people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any / all disciplinary actions, as required

Lead and manage a team of Compliance analyst professionals and overall operation of a diverse group in an area of moderate risk, complexity or scope

Manage an integrated approach with other business management areas, broader organization, and enterprise as appropriate

Deep knowledge and understanding of businesses / technology, and organizational practices / disciplines

Sound to advanced knowledge of external competition, industry and / or market trends in relation to own function / business

Focus on short to medium-term issues

Generally reports to a Senior Manager or above

EXPERIENCE & EDUCATION

Undergraduate degree

Relevant professional designations and / or certifications as required

7+ years relevant experience

Who We Are :

TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches / stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals. As an organization, we keep growing – and so will you.

Our Total Rewards Package

Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical, and mental well-being goals. Total Rewards at TD includes a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs.

Additional Information :

We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

Colleague Development

If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

Training & Onboarding

We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process

We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation

Your accessibility is important to us. Please let us know if you’d like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you!

Language Requirement (Quebec only) :

Sans Objet