AVP Compliance, Monitoring and Testing
AVP Compliance, Monitoring and Testing
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Job Description
Work Location:
Toronto Ontario CanadaHours:
37.5Line of Business:
CompliancePay Details:
$145000 - $200000 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:
The AVP Compliance Monitoring & Testing leads the development of the enterprise methodology for monitoring and testing performed by the 2nd line functions. This role will be expected to lead the following:
Develop and own the methodology for monitoring and testing by 2nd line functions including the strategy for the testing of IT systems that are part of TDs regulatory environment.
Working with other second line functions to build the monitoring and testing operating framework.
Develop a coordinated and ultimately consolidated testing calendar for the 2nd line functions.
Working in conjunction with the 1st line develop a reliance model that leverages testing and monitoring performed by other teams and is acceptable to the local regulators.
Integrate testing resources across the Canadian Compliance team.
Drive the use of RPA and artificial intelligence by the testing functions.
Develop and enforce 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
Provide thought leadership and input into the strategic vision for the Banks approach to perform oversight testing and monitoring throughout all three lines of defense including the appropriate organization structure and staffing to achieve the strategy.
Lead and oversee the day to day effectiveness of the centralized Compliance testing team including the Branch Review program.
Establish a new enterprise center of excellence for monitoring and testing within Global Compliance developing a team of subject matter experts with a diverse skill set (testing analytics business and regulatory knowledge).
Lead second line of defense coordination for testing and monitoring by working in close partnership with other second line stakeholders (e.g. Compliance Risk FCRM HR).
Develop Board reporting on monitoring and testing trends key issues and action plans
Participate on executive committees as appropriate to effectively guide strategic direction and decision making.
Qualifications
Leadership capabilities to drive and implement change; carry out TDs People Strategies to attract retain develop and engage a highly qualified team; and continue to evolve Compliance Program
Strong Leadership and People Management experience and skills
Expert communicator and relationship builder with ability to work independently think critically and make decisions
University degree required: Post Graduate degree preferred
Relevant training and industry certification
Regulatory experience and experience in compliance or risk management programs is highly-desirable with preference for candidates who can demonstrate development of program elements and/or implementation of regulatory change management
Demonstrated excellence in business presentation skills including verbally in writing and in management report generation required
Experience in retail wealth management or securities compliance
Experience in Project Management discipline is considered an asset.
Strong sense of personal ownership for effectively bridge technical and non-technical disciplines and stakeholders and track record of doing so
Familiarity with regulations and compliance strategies and risk management; possesses and demonstrates expertise in the advisory policy change management project management and operations
Highest personal and professional integrity and standards to advance TDs vision and protect the brand
Strong verbal and written communication skills including public speaking/presentation skills and well developed listening and negotiation skills at all levels
Advances TDs leadership development colleague experience & diversity agenda
Strong relationship building and negotiation skills and the ability to interact with sensitivity and leadership to advance and influence the culture Compliance aims to promote
Transparent communicator and respected TD representative both internally and externally
Demonstrates ability delivering on objectives focusing on what matters
Demonstrates strong problem solving & analytical skills including the ability to comprehend a situation by breaking it down into its components and identifying underlying issues
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:
Exec
Employment Type
Full-Time
