Td Bank Manager Compliance Governance Management Canada, Ontario, Toronto 940404159
Job Description:
We are seeking a highly motivated compliance professional to join our global Compliance Strategy and Operations team. In this role you will be responsible for designing, scaling, building, implementing, and maintaining an adaptive and mature Risk Compliance Management program. You will empower first-line risk owners and compliance oversight functions to build and maintain mature compliance programs. You will be responsible for identifying potential compliance risks and working with relevant teams to develop mitigation strategies. Must have a strong background in drafting compliance frameworks, policies, standards, and procedures as you will play a critical role in creating a well-documented scalable, sustainable, and repeatable global compliance framework. You will oversee and manage the global compliance governance document inventory. In this role you will also lead the development and execution of the strategic annual compliance plan. Must be able to work well in a team dynamic to ensure the seamless execution of complex, high-impact projects. Must have strong communication, organization, and leadership skills and the ability to work in a fast-paced environment. Demonstrated experience in risk management, risk compliance self-assessment, program effectiveness assessment, and control design effectiveness assessment also desired.
:
- Support the global Compliance Program in defining and achieving departmental objectives:
- Design operational risk management plans and the annual compliance strategic plan
- Develop document retention solutions
- Create and maintain inventories, libraries, and archival systems
- Improve and scale compliance management routines, workflows, and processes to simplify, streamline and create efficiencies
- Liaise with risk, compliance, ERM/ORM, legal, and audit partners as required
- Drive and support the implementation of enterprise-wide transformation projects
- Perform staffing skills assessments and determine departmental resource gaps
- Develop and maintain a Roles and Responsibilities matrix
- Take ownership of Compliance Governance Documentation
- Reviewing, editing, drafting, and maintaining relevant policies and procedures
- Ensure governance documents align with regulatory expectations, internal standards, industry best practices, and enterprise risk appetite
- Lead the development of a structured approach to policy management to ensure clarity and consistency
- Take owner ship of the policy on policy, by designing a policy development framework, approval process, implementation and communication strategy, enforcement and monitoring, review and update management routines, style guide, templates
- Manage the global Compliance Online Document Inventory, manage the upload process, perform health checks, and provide data driven reports monthly
- Drafting Procedures that define clear accountability, ownership, roles, and responsibilities and include processes that are sustainable, scalable, and repeatable
- Leverage the results and output from Risk Control Self-Assessments and Program Effectiveness Assessments to facilitate update process of impacted governance documents
- Ensure the updating of relevant governance documentation adequately reflects evolving legal, regulatory, and industry best practices
- Lead and draft responses to inquiries from regulators and respond to internal audit findings
- Develop and use metrics (KRIs/KPIs) to oversee and measure first-line performance and the consistent implementation of compliance standards, must have a deep understanding of Risk Control Self-Assessment, Control Effectiveness Assessment, Program Effectiveness Assessment methodologies and GRC tools
- Strong Project management skills to ensure timelines and deadlines are met
- Independently handle projects, work without direct oversight or intervention, manage competing priorities, and communicate effectively with internal audiences,
- The ability to work in a team environment
- Performs other duties and responsibilities as assigned
Education & Experience
- J.D. from an accredited law school
- Minimum 7+ years of experience in governance, or risk management within the financial services or FinTech industry
- Prior experience drafting responses and preparing evidence packages for regulators and internal audit
- Excellent verbal and writing skills with a demonstrated history of independently writing quality policies, and procedures
- Strong understanding of regulatory frameworks, risk management best practices, or mature Compliance Management Systems
- Advance proficiency with GRC platforms (preferably ServiceNow and Archer)
- Consistently delivers high-quality and timely work with strict attention to detail and a strong sense of ownership and accountability
- Intellectually curious, provides insightful solutions as well as information
- Learns and adapts easily, flexible, and comfortable with ambiguity
- Professional demeanor, excellent interpersonal skills, capable of working with all levels of internal and external staff including regulators, and collaborating across large organizations
- Prior project management experience
- Ability to work in a diverse and inclusive workspace
- Ability to work in a team dynamic and be a team player
- Proficient in Word, Excel, PowerPoint, Outlook, Teams, and Microsoft Office Suite
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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