Manager, Business Mgmt (Audit & Remediation)

Work Location:

Hours:

Line of Business:

Pay Details:

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidates skills and experience job-related knowledge geographic location and other specific business and organizational needs.

As a candidate you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

The Operations Performance & Workforce Management (PWFM) team is part of the Operational Excellence and Capabilities pillar in Business Banking Operations. The Performance & Workforce Management team is responsible for Reporting Business Continue Management (BCM) Business premises Support attestations Workforce Management Central hiring and learning and Development and performance testing audit SOX controls and remediation supporting BB Operations.

We are committed to meeting the high expectations and complex needs of our customers our partners across the bank while support our colleagues in the quest to be Better Business Bankers.

Job Description:

The Manager will provide day-to-day leadership to ensure effective and efficient delivery of governance and control support in accordance with reporting standards compliance audit SOX controls and regulatory guidelines. While overseeing leading and managing audit testing and Remediation.

Customer:

• We are looking for an energetic self-motivated individual who will represent the business as a subject matter expert on developing communicating and implementing a holistic strategy as it relates to Risk and Governance functions.

• Act as a strategic partner by leading relationships with key Governance Partners and interfacing with Business Leadership to clarify scope of accountabilities while influencing and aligning partners as needed.

• Provide direction and/or input to complex wide ranging enterprise or cross-function / business projects/initiatives as a subject matter expert and where necessary participate in identifying designing and testing risk mitigating strategies and supporting the implementation.

• Deliver an integrated and aggregated view of all Risk related activities across the Business to Management and Executives with health status and delivery map.

• Forecast Audit/Testing activities and demand coordinate required resources and prioritization of the portfolio of testing initiatives with key stakeholders.

• Provide functional / business level communications between Governance /Testing partners and the Business to ensure messages are consistent appropriate and aligned to business strategies and executive management direction.

• Creates storytelling presentations on business performance (competitive analysis etc.)

• Identifies/recommends/supports the implementation of actions/remediation plans to address performance/risk/governance issues

Shareholder:

• Lead relationships with corporate and/or control functions to ensure alignment with enterprise and/or regulatory requirements.

• Support team in staying knowledgeable on emerging issues trends and evolving regulatory requirements and assess potential impacts.

• Assess / identify key issues and escalate to appropriate levels and relevant stakeholders and business management where required.

• Maintain a culture of risk management and control supported by effective processes and sound infrastructure and in alignment with risk appetite.

• Work closely with key business leaders to optimize resources and leverage operating model to maximize efficiency effectiveness and scale while ensuring timely delivering on Audit and Testing asks.

• Participate in cross-functional / business initiatives as a subject matter expert helping to identify risk / provide guidance for complex situations.

• Lead internal governance meetings or committees and related deliverables / outcomes.

• Oversee/ Lead / facilitate and/or implement action/remediation plans to address performance/risk/governance issues.

Team:

• Provide thought leadership and industry knowledge for area of expertise.

• Support a positive work environment that promotes service to the business quality innovation and teamwork and ensure timely communication of issues/ points of interest.

• Identify and recommend opportunities to enhance productivity effectiveness and operational efficiency.

• Work effectively supporting other members/partners in achieving business objectives and providing client services.

• Participate in knowledge transfer within the business units

Job Requirements:

Audit and Testing - Scope of work and Key Deliverables

Internal audit:

• Consult on Audit prep/self ID items prior to Audit Start

• Develop effective interaction model to provide timely and sufficient responses to all Audit requests.

• Manage incoming requests ensuring reasonability and sufficient time to execute.

• Host prep sessions with Ops team to ensure proper readiness for Audit calls.

• Lead Executive review and approval as required.

• Lead possible issue discussion and appeal.

• Develop & Consult on Action Plans ensuring meets Audit requirements.

• Host regular touchpoints to track progress on Milestone execution identify roadblocks/issues and escalate to management as required.

Controls Testing:

• Lead bi-annual SOX attestation prep work.

• Maintain Controls inventory.

• Manage incoming requests ensuring reasonability and sufficient time to execute.

• Host prep sessions with Ops team to ensure proper readiness for Audit calls.

• Support Executive review and approval as required.

• Interact with Third Party Audit (E&Y) on all questions/concerns escalations etc.

• Lead possible issue discussion and appeal.

• Develop & Consult on Action Plans ensuring meets Audit requirements.

• Host regular touchpoints to track progress on Milestone execution identify roadblocks/issues and escalate to management as required.

pRCSA:

• Maintain pRCSA inventory and refresh schedule.

• Provide support to Operations during pRCSA sessions to ensure reasonable rationale is used for risk and control assessment.

• Review final pRCSA artefact package and provide recommendation for Senior Manager and AVP approval.

• Maintain control inventory and testing schedule.

• Review requests ensuring reasonability and sufficient time to execute.

• Host prep sessions with Ops team to ensure proper readiness for Audit calls.

• Support Executive review and approval as required

Who We Are:

TD is one of the worlds 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 95000 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 youve 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 were 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. Learn more

Additional Information:
Were delighted that youre considering building a career with TD. Through regular development conversations training programs and a competitive benefits plan were committed to providing the support our colleagues need to thrive both at work and at home.

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.

Colleague Development
If youre interested in a specific career path or are looking to build certain skills we want to help you succeed. Youll 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 were committed to helping you identify opportunities that support your goals.

Training & Onboarding
We will provide training and onboarding sessions to ensure that youve got everything you need to succeed in your new role.

Interview Process
Well 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 youd 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 (Quebec only):