Td Bank Compliance Director Annual Plan Development Monitoring Reporting US United States, North Carolina, Charlotte 864246185
Job Description:
The Compliance Director, Annual Plan Development, Monitoring, and Reporting provides leadership into the strategic vision for our approach to design coverage methodologies across the three lines of defense, drive integration in coverage planning, and implement coverage tracking and reporting for compliance monitoring and testing activities.
Depth & Scope:
- 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
- Develops and owns the methodology for data aggregation, risk coverage, and reporting to support monitoring and testing by 2nd line including compliance risk and controls
- Works with other first, second- and third-line functions to build an integration planning strategy
- Develops a coordinated and ultimately consolidated testing calendar for the 2nd line functions to maximize efficiency
- Drives the use of RPA and artificial intelligence by the testing functions
- Determines, with other partners, the technology solution for monitoring and testing files and working paper retention
- Provides thought leadership and input into the strategic vision for the Bank's approach to compliance risk coverage
- Leads second line of defense data coordination for holistic testing and monitoring reporting by working in close partnership with other second line stakeholders (e.g. Risk, AML, HR)
- Supports the development of Board reporting on monitoring and testing trends, key issues and action plans
- Cultivates strong relationships with management across TD
- Develops and maintains constructive relationships across second line to develop target state methodology for risk coverage
- Ensures that Compliance Department strategic initiatives and directives are carried out effectively and that those strategic initiatives and directives comply with all relevant regulatory requirements, standards and expectations, as well as internal compliance policies
Education & Experience:
- Bachelor's degree required
- 10+ years related experience required
- In-depth knowledge of financial services, regulatory industry practices
- Strong data analytic experience, specifically tied to regulatory activities
- Regulatory, industry and operational knowledge with respect to testing and monitoring.
- Ability to operate in a cross-functional capacity in the first and second lines.
- Strong Control/Risk Management mindset.
- Negotiation skills and forward looking with an ability to drive and implement change and solve problems.
- Focus on developing and strengthening robust relationships with senior leaders and key stakeholders
Our Total Rewards Package
awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition.
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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