Senior Manager - TPRO Compliance, Quality Control & Assurance

Description

KEY ACCOUNTABILITIES

CUSTOMER

• Develop, communicate and implement a holistic governance and control strategy for own specific business function in support of and integrated with the overall business strategy
• Manage and plan activities that require alignment across multiple areas
• Lead the implementation of regulatory change management and provide guidance to the team in the development and / or integrated implementation of policies / procedures / changes across multiple business / functional areas
• Lead partnership with management and respective teams for area of specialization with industry, enterprise, and business awareness;

recognizing and anticipating emerging trends and; identifying issues and opportunities and recommending actions to senior management

• Ensure all administration, control and compliance activities are complete and accurate to meet targets for own area
• Ensure an integrated and aggregated view of all related business risk and control activities across the overall function providing escalations, recommendations, and decision support to leadership
• Forecast programs / initiatives and demand, and coordinate prioritization of the portfolio / initiatives with key stakeholders
• Provide functional / business level communications to ensure messages to stakeholders and / or employees are consistent, appropriate and aligned to business risk strategies and executive management direction
• Provide direction to complex, wide ranging enterprise or cross-function / business projects as a SME and participate in designing, testing, and implementation of solutions

SHAREHOLDER

• Work closely with senior management to develop business plan, ensuring the optimal use of resources and leverage TD’s operating model to maximize efficiency, effectiveness and scale
• Lead interface and relationships with corporate and / or control functions to ensure alignment with enterprise and / or regulatory requirements
• 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
• Ensure business operations are in compliance with applicable requirements (e.g. financial controls, segregation of duties, transaction approvals and physical control of assets)
• Lead or contribute to cross-functional / enterprise initiatives as a SME helping to identify risk / provide guidance for complex situations
• 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
• Protect the interests of the organization identify and manage risks, and escalate non-standard, high risk transactions / activities as necessary
• 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, guidance, and expertise; ensures team adheres to enterprise frameworks and methodologies
• Support team in staying knowledgeable on emerging issues, trends and evolving regulatory requirements and assess potential impacts to the Bank
• Lead a high performing team; provide on-going feedback and performance reviews, coach and develop employees and ensure performance management activities are undertaken and completed for all employees
• 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
• 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

BREADTH & DEPTH

• Oversee and lead a highly complex and diverse function for an area of significant risk, complexity or scope while growing talent, developing skills and capabilities to achieve career goals, support project / initiative success and achieve business results
• Provides 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
• Manages and oversees the overall discipline and strategy for the respective areas while aligning to the enterprise best practices
• Provides coaching, mentorship and guidance to practitioners, business, executives within area of expertise
• Strategic partner to leadership team on the management of the function, with deep industry, external / internal, enterprise knowledge, recognizing and anticipating emerging trends and;

identifying operational efficiencies and opportunities with other business management / enterprise areas

• Sets operational team direction and collaborate with others to execute on common goals
• Focus on longer-range planning for functional area (e.g. 12 months or greater)
• Reports to an executive

EXPERIENCE & EDUCATION

• Undergraduate degree preferred
• Deep industry and business knowledge and expertise on risk and control functions
• 10+ years of relevant experience

PREFERRED QUALIFICATIONS

• Role of QC Resources
• Lead small team of QC and QA professionals to which perform testing of adherence to the Third Party Risk Management Policy, Standards and Processes to mitigate risk.
• Drive strategic and tactical changes to QC and QA Program within the TP

All TPRO Resources

• Enable, oversee and support the 1st line of defense for third party activities with the following core capabilities :
• Enhancing the culture and awareness of proactively managing and mitigating Third Party Risk
• Performing support and effective 1B challenge of Third Party Risk activities
• Driving change initiatives in the Third Party space on behalf of the businesses and corporate areas
• Act as a Liaison with 2nd line, 3rd line and Regulators on behalf of the 1st line

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.