Td Bank Senior Manager Compliance Testing Canada, Ontario, Toronto 390883079
Job Description:
Reporting to the Associate Vice President, Compliance Testing, the Senior Manager, Compliance Testing will be responsible for overseeing and developing team(s) of testing specialists and/or managers conducting independent Compliance testing to meet regulatory and internal requirements. The Senior Manager will provide guidance, leadership, coaching, and development to achieve desired operational results anddevelopment objectives for the overall group.
CUSTOMER
Manage teams of compliance testing specialists and/or managers in the execution of Compliance Testing engagements and validation of action plans in accordance with established standards
Conduct skilled analytical research and analysis as part of the testing engagement and initiatives
Develop, implement, track, and report on Compliance testing schedules and budgets
Provide overall strategic direction to support the Compliance Testing Program, Procedures, and processes so that they stay current with established standards and regulatory expectations
Act as a subject matter expert and strategic advisor by providing guidance on Compliance issues to management, business units, and respective teams for area of specialization
Report on emerging trends, identifying risks and opportunities, and recommending action to senior management
Understand risk identification, risk analysis, and risk mitigation according to the regulatory requirements and best business practices
Support relationships with key partners to effectively manage and clarify scope of accountabilities while influencing and aligning others as needed
Provide functional/business level communications to stakeholders and/or leaders that are consistent, appropriate, and aligned with strategic direction
SHAREHOLDER
Work closely with key business leaders to develop business plan, ensuring the optimal use of resources and leverage TD’s operating model to maximize efficiency, effectiveness and scale
Plan and execute on strategic activities, review and communicate results, and adjust tactics accordingly
Maintain extensive knowledge of business units and regulatoryrequirements/complianceissues within the Compliance area
Provide subject matter expertise, complex analysis and advice to business partners/team and apply knowledge in following up on outcomes, investigating and/or enforcing policy
Identify and implement opportunities for continuous improvement in the Compliance Testing Program
Lead relationships with business lines/corporate and/or control functions to promote alignment with enterprise and/or regulatory requirements
Assess/identify key issues and escalate to management where required
Support the facilitation of action/remediation plans as a result of an internal audit and/or regulator review of Compliance Testing Program
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
Set targets and objectives for the team, and deliver results
Grow team expertise to align with business/enterprise demand and direction; assess team skills and capabilities and continually look for ways to provide and enhance the value delivered
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
Share knowledge, information, skills, and subject matter expertise among the team and promote 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
BREADTH & DEPTH
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
Oversee more than one TBDG business segment and typically deal with senior/executive management
Strategic advisor with deep industry, external / internal, enterprise knowledge, recognizing and anticipating emerging trends and; identifying operational efficiencies and opportunities with other business management / enterprise areas
Provide guidance and clarity around priorities and goals for Compliance program and works with managers to ensure the goals cascade to all workers
Guide talent identification and development processes
Key contact for dealing with a range of complex issues, including non-routine information
Focuses on longer-range planning for functional area (e.g., 12 months or greater)
Manage and prioritize multiple projects at a given time
Identify and lead problem resolution for project/program complex requirements related issues at all levels
Set operational team direction and collaborate with others to execute on common goals
Generally reports to an executive role
EXPERIENCE & EDUCATION
Undergraduate degree or equivalent work experience
10+ years of experience
Strong project management and organization skills to lead multiple testing engagements, and large projects/initiatives
Strong interpersonal skills to facilitate working with business unit compliance, compliance testing teams, senior compliance management, and business partners at all levels
Strong understanding of compliance testing and monitoring methodology and approaches, as well as regulator expectations for the Compliance function
Excellent verbal and written communication skills
Ability to generate ideas, think strategically, and think "outside-the-box" for an innovative compliance testing approach
Demonstrated time management and organizational skills to meet tight deadlines as well as flexibility to adapt to changing priorities that are in alignment with Compliance goals
Self-starter with ability to multi-task and work independently
Strong teamwork skills
Flexible and adaptable to changing environment and expectations
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.
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.
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.
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