Manager, Compliance Governance Management (3747)

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Hours:

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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:

We are seeking a highly motivated compliance professional to join our global Compliance Strategy and Operations 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 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.

Key Responsibilities:

• 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

Qualifications:
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

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):