Compliance, Quality Control & Assurance Manager

Description

The Quality Control Manager - manages a portfolio of governance and control activities for moderately complex or high-risk business or functional area and implements policies / processes and / or initiatives to meet governance and control guidelines.

Acts as a technical lead on key control initiatives.

Depth & Scope :

Highly seasoned professional role requiring substantial business knowledge / expertise in a complex field and knowledge of broader related areas.

Integrates knowledge of the enterprise sub-function’s or business line’s overarching strategy in developing solutions across multiple functions or operations

Ability to work collaboratively and build relationships across teams and functions.

Interprets internal / external business challenges and the industry environment, recommends course of action and best practices to improve products, processes, or services.

Acts as a technical expert / lead integrating cross-function understanding within their own field of specialty; may manage team(s) of related specialists.

Leads cross-functional teams or projects with significant resource requirements, risk and / or complexity.

Independently manages end-to-end functional programs.

Solves or may lead others to solve complex problems; leads efforts or partners with others to develop new solutions.

Works autonomously as the lead and guides others within area of expertise.

Education & Experience :

Undergraduate degree preferred.

7+ years of relevant experience

Experience developing and performing Quality Control testing

Quality Control testing on Third Party risk processes a plus

Experience developing executive level reporting leveraging large data sets

Advanced business understanding and knowledge of risk and control functions

Advanced knowledge of governance, risk and control procedures, strategies & tactics

Knowledge of current and emerging competitor and market trends

Ability to establish goals and objectives that support delivery execution for multiple teams.

Ability to contribute to the direction of the function and provide advice to the team and delivery leadership.

Ability to lead, plan, execute and evaluate project activities to ensure completion of initiatives.

Skill in mentoring, and performance management

Skill in using analytical software tools, data analysis methods and reporting techniques.

Skill in using computer applications including MS Office and industry standards.

Ability to communicate effectively in both oral and written form.

Ability to work collaboratively and build relationships across teams and functions.

Ability to work successfully as a member of a team and drive team execution.

Ability to exercise sound judgement in making decisions.

Ability to analyze, organize and prioritize work while meeting multiple deadlines.

Customer Accountabilities :

Contributes to the strategic direction of the business governance and control function and plays a key role in the development and implementation of risk strategies in support of the overall business strategy.

Develops and documents a comprehensive inventory of processes and controls with clearly defined owners and roles and responsibilities for each process and control.

Participates in the intake of applicable regulation, assessment of impact to the business line, and the comprehensive mapping of associated controls to rules and regulations.

Reviews end-to-end processes and controls and connects the dots across issues and control deficiencies across various BUs in order to increase standardization of solutions, processes and controls.

Leads the integrated execution of policies / procedures / changes across multiple functional areas.

Provides direction to complex, wide-ranging enterprise or cross-function / business projects as a SME, identifies risk / provides guidance for complex situations and participates in designing, testing, and implementation of solutions.

Acts as lead for area of specialization with industry, enterprise, and business awareness; recognizing and anticipating emerging trends and identifying issues and opportunities and recommending action to senior management in the governance and control space.

Shareholder Accountabilities :

Ensures programs / policies / practices are well-managed, meet business needs / priorities, and comply with internal / external requirements.

Exercises discretion in managing communication / correspondence, information, and all matters of confidentiality.

Leads research projects; supports the development / delivery of materials and presentations to management or broader audience.

Conducts analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess the effectiveness of programs, policies, or practices.

Adheres to enterprise frameworks or methodologies that relate to activities across businesses and functions.

Manages relationships within and across various business lines, corporate and / or control functions and ensures alignment with enterprise and / or regulatory requirements.

Protects the interests of the organization identifies and manages risks, and escalates non-standard, high-risk transactions / activities as necessary.

Maintains a culture of risk management and control, supported by processes in alignment with risk appetite.

Is knowledgeable of and complies with Bank Code of Conduct

Employee / Team Accountabilities :

Participates as a member of the team, supports a positive work environment, and ensures timely communication.

Provides leadership as a SME and participates in knowledge transfer within the team / business unit.

Keeps current on emerging trends / developments and grows knowledge of the business, related tools, and techniques.

Keeps others informed about the status / progress of projects.

Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices.

Contributes to a fair, positive, and equitable environment.

Acts as a brand ambassador for your business area / function and the Bank.

Preferred Qualifications :

Perform QC and QA activities to test and validate adherence Third Party Risk Management Policy, Standards and Processes to mitigate risk.

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.

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 :

N / A.