Senior Manager, Compliance Testing (3068)

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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:

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 and professional/personal development objectives for the overall group.

KEY ACCOUNTABILITIES

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 TDs 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 regulatory requirements/compliance issues 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

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):