Manager, Compliance Governance & Operations
Employer : TD Bank
Location : Toronto, Ontario, Canada
Pay : $91,200 - $136,800 CAD
Work Hours : 0 (data unclear)
Job Type : Permanent employment, Full time
Start Date : as soon as possible
Key Accountabilities
- 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
- 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 elevate 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 elevate 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
- Responsible for management of the overall team providing both leadership and guidance
- Contribute to the development of Compliance functional strategic priorities within
Advertised Until
2026-01-23
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