Compliance Director, Commercial, Operations and Securities Testing (US)
Compliance Director, Commercial, Operations and Securities Testing (US)
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Job Description
Work Location:
Charlotte North Carolina United States of AmericaHours:
40Pay Details:
$200000 - $280000 USDTD 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.
Line of Business:
ComplianceJob Description:
The Compliance Director Commercial Operations and Securities Testing provides thought leadership into the strategic vision for our approach to perform oversight testing and monitoring throughout first- and second lines of defense for their areas of expertise including the appropriate organization structure and staffing to achieve the strategy. Responsible for supporting the development and implementation of the target operating model for Compliance testing capability with a focus on optimizing controls streamlining and standardizing testing execution and improving testing effectiveness and efficiency.
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
- Supports the develop and own the methodology for monitoring and testing by 2nd line including compliance risk and controls
- Works with other second and third line functions to support the build of the compliance monitoring and testing operating framework
- Drives the use of RPA and artificial intelligence by the second line testing function
- Enforces standards for an effective risk-mediation process (for example root-cause analysis and performance tracking) to ensure it addresses root causes of compliance issues rather than just treating the symptoms
- Supports the implementation and training of the technology solution for monitoring and testing files and working paper retention
- Leads second line of defense testing and monitoring of the commercial and operations businesses as well as testing that results through the identification of emerging or heightened risk
- Supports Board reporting on monitoring and testing trends key issues and action plans
- Cultivates strong relationships with senior management across TD
- Participates on executive committees as appropriate to effectively guide strategic direction and decision making
- Develops and maintains constructive relationships between the commercial and operations Senior Management and the Senior Compliance Leaders to build and maintain trust in TD by our regulators and our business partners
- Provides routine and regular reporting of activities issues and events through appropriate channels
- Maintains positive honest transparent and constructive relationships with regulators
- 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
- Executes compliance testing over the businesses and control functions to oversee each business/control function
- Ensures that testing execution is in compliance with the enterprise testing standards and is executed by individuals who are independent of the control design
Education & Experience:
- Bachelors degree required
- 10 years related experience required
- In-depth knowledge of financial services regulatory industry practices
- In-depth knowledge of laws rules and regulations applicable to commercial securities and operations businesses/function and products
- Strong management experience leading regulatory compliance activities
- Regulatory industry and operational knowledge with respect to testing and monitoring.
- Ability to operationally manage a complex team that has a wide variety of skill sets.
- 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
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 base salary and variable compensation/incentive 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. 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.
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
TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race color religion sex sexual orientation gender identity national origin age disability status as a protected veteran or any other characteristic protected under applicable federal state or local law.
If you are an applicant with a disability and need accommodations to complete the application process please email TD Bank US Workplace Accommodations Program at . Include your full name best way to reach you and the accommodation needed to assist you with the applicant process.
Required Experience:
Director
Employment Type
Full-Time
