Senior Manager, Compliance Operations and ORM Programs (3746)
Senior Manager, Compliance Operations and ORM Programs (3746)
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Job Description
Work Location:
Toronto Ontario CanadaHours:
37.5Line of Business:
CompliancePay Details:
$108800 - $163200 CADTD 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:
Preferred candidate identified
We are seeking a highly motivated and experienced Senior Manager to join the Compliance Strategy & Operations team. This critical role that repots to the Head of Compliance Strategy and Operations (AVP) and will lead the coordination and execution and reporting of Operational Risk Management (ORM) programs for the Compliance function. The ideal candidate possesses strong analytical skills effective communication and presentation abilities and a proven track record of driving cross-functional collaboration. This role does not have direct reports but will work closely with senior leaders across Compliance and Operational Risk to execute key risk programs facilitate robust business routines and deliver actionable reporting.
Key Responsibilities:
- Risk and Control Self-Assessment (RCSA) Program
- Establish and maintain an inventory of Compliance assessable units business processes and value chains.
- Develop and manage the RCSA schedule for Compliance units and related processes.
- Coordinate and facilitate the execution of RCSAs across Compliance functions.
- Lead RCSA workshops and advise risk/control owners throughout the process.
- Support risk/control owners in identifying risks controls vendors process flows and issues.
- Conduct control testing to validate results.
- Coordinate independent review and challenge with ORM and other risk partners.
- Manage the annual refresh of the Compliance assessable units business processes and value chains inventory.
- Resolution Planning
- Lead Compliances contributions to the banks Resolution Plan.
- Collaborate with resolution strategy teams to ensure alignment with enterprise expectations.
- Provide subject matter content to resolution plans to support the development and maintenance of Business Continuity Plans (BCP).
- Manage BCP access exercises and tests.
- Provide quality assurance to Plan Executive on BCP exercises and test records.
- Responsible of the activation and execution of BCPs.
- Operational Risk Profile and Reporting
- Lead the assessment of the Compliance departments operational risk profile.
- Develop and maintain high-quality reporting on the operational performance of Compliance.
- Track and communicate key risk metrics trends and emerging themes.
- Risk Event Attestations
- Coordinate quarterly operational risk event attestations for Compliance units.
- Perform quality checks on submitted risk events and ensure accuracy in reporting.
Preferred Skills:
Bachelors degree in Business Finance Risk Management Legal or related field.
Minimum of 8-10 years of experience in compliance risk or business operations within financial services or a similarly regulated industry.
Proven experience in compliance operations risk assessments and control frameworks or operational risk/compliance program execution.
Proven ability to engage and influence stakeholders at all levels
Exceptional analytical communication and presentation skills; able to tailor messaging for executive audiences.
Demonstrated ability to lead without authority and influence across all levels of the organization.
Highly proficient in Microsoft PowerPoint Excel and Word.
Familiarity with regulatory expectations tied to enterprise compliance programs governance and risk frameworks.
Strong project management skills with the ability to manage competing priorities and deadlines.
Comfortable operating in a fast-paced matrixed environment with evolving priorities.
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):
Sans ObjetRequired Experience:
Senior Manager
Employment Type
Full-Time
