Senior Manager, Monitoring & Testing, Canadian Banking Compliance (4461)

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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:

Job Description

Reporting to the Associate Vice President Regulatory Compliance Management (RCM) Program the Senior Manager Monitoring & Testing (M&T) is accountable for the planning execution governance and delivery of the Canadian Banking Compliance (CBC) M&T program and for contributing to the overall success of the Global Compliance monitoring and testing program.

The role leads and develops a team of testing analysts and ensures M&T activities support Global Compliance and CBC strategies comply with applicable laws rules and regulations (LRRs) and internal policies and aligns with the Enterprise RCM Standards Risk Frameworks Policies and Procedures as applicable.

The Senior Manager will lead and oversee CBC M&T engagements impacting the Canadian Personal and Business Banking segments and will act as a key liaison between CBC Risk Owners (ROs) Enterprise Compliance Testing teams and central Compliance Units. The incumbent should have people management experience and have a strong understanding of the breadth and depth of the organization.

Key Accountabilities

M&T Governance & Program Oversight

• Lead the development approval execution tracking/reconciliation and reporting of the annual CBC M&T plan including RCM coverage and noncoverage activities.

• Manage plan changes/revisions as applicable and midyear refreshes for both CBC and RO M&T plans in coordination with Compliance Testing Central Services.

• Facilitate review challenge and executive approval of RO annual M&T plans in partnership with Compliance Advisory teams.

• Oversee consolidation analysis and reporting of M&T results through dashboards management reporting and senior/Boardlevel materials.

• Establish and maintain effective engagement/interaction models with Risk Owners Compliance Executives Enterprise Compliance Testing and Compliance Testing Central Services and other stakeholders as applicable.

• Act as the CBC subject matter expert on Enterprise / RCM M&T standards including reviewing/consolidating/providing feedback to draft Enterprise RCM M&T Standards/Procedures interpretation of guidance communicating guidance to stakeholders and development of CBCspecific job aids or procedures as applicable.

• Support Quality Assurance Reviews (QARs) Internal Audit engagements and related remediation activities as required.

• Support departmentwide strategic initiatives and projects as required.

M&T Execution & Advisory Support

• Oversee execution of M&T activities in accordance with the approved annual CBC M&T plan and ensure delivery remains on track.

• Review and approve M&T engagement documentation to ensure quality consistency and adherence to Enterprise RCM standards.

• Provide subject matter expertise on applicable consumer protection laws and regulatory expectations to testing teams Enterprise Compliance Testing and Risk Owners as required.

• Deliver timely and accurate status updates insights and results to Compliance leadership and key stakeholders.

• Proactively identify issues requiring escalation and coordinate resolution with appropriate partners.

• Act as delegate for the Associate Vice President on M&T initiatives and approvals as required.

Team Leadership

• Lead coach and develop testing analysts across all phases of M&T engagements to achieve highquality outcomes.

• Ensure team capability through effective performance management training and adherence to Enterprise and departmental policies procedures and standards.

• Foster a strong compliance risk culture and rolemodel expected risk behaviours (own it raise it know it).

• Recruit develop and retain diverse talent to build a sustainable and highperforming team.

Qualifications & Experience

• University degree in Business Finance Risk Management Law or a related discipline; professional certifications in compliance risk or audit are an asset.

• Extensive experience in regulatory compliance risk management governance audit or control functions within a complex regulated environment.

• Strong knowledge of monitoring and testing methodologies including control and outcomebased testing.

• Solid understanding of regulatory expectations enterprise risk frameworks and policy governance standards.

Skills & Competencies

• Strong leadership and people management skills ability to deal with difficult situations and make decisions.

• Strong critical thinking analytical and problemsolving skills.

• Strategic mindset with the ability to manage multiple priorities in a fastpaced highly regulated environment.

• Excellent written and verbal communication skills including senior management and Boardlevel reporting.

• Strong operational knowledge of Canadian Banking products policies and processes.

• Ability to integrate data analytics and insights into effective reporting and dashboards.

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 strive to make every interaction product and experience remarkably human and refreshingly simple for 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 foster deeper relationships ensure disciplined execution and build a simpler faster banking experience. TD is deeply committed to being a leader in client experience that is why we believe that all colleagues no matter where they work are client facing. Together we are reimagining what banking can be for our clients colleagues and communities.

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.

If youre passionate about helping clients and building deep lasting relationships TD offers diverse career paths where you can grow your expertise and make a meaningful impact.

Were committed to your success and foster a respectful workplace where diverse perspectives are valued everyone has fair opportunities to grow and you can unlock your full potential to achieve your career goals. Here at TD we hire and develop the best.

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):