Td Bank Senior Manager Compliance Testing 

Canada, Ontario, Toronto 

390883079

Toronto, Ontario, Canada

$108,800 - $163,200 CAD

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.

Sans Objet