manager, finance
Title posted on CareerBeacon -
AVP, Compliance Quality Assurance
Posted on
June 22, 2024
by
Employer details
TD Bank
Job details
Work Location:Toronto, Ontario, CanadaHours:37.5Line of Business:CompliancePay Details:We're committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.Job Description:Department Overview:The Global Compliance Department is responsible for overseeing regulatory compliance across TDBG in accordance with the Global Compliance Operating Framework. The team is accountable for promoting regulatory compliance by developing and maintaining compliance programs, including identifying and disseminating regulatory developments to businesses they support, maintaining Compliance policies, managing complaints and regulatory filings, providing relevant training, carrying out independent monitoring and oversight activities, reporting on the state of compliance to the Board, UDP and senior management, as needed, and providing advice and support, as required.Job Details:The AVP, Compliance, Quality Assurance reports to the TDBG SVP, Deputy Chief Compliance Officer and Compliance Transformation.Individual Accountabilities:? Oversees and lead the teams responsible for Compliance Units Quality Monitoring (QM) and Quality Assurance Review (QAR) programs for Global Compliance.? Develop and executes the Quality Monitoring and QAR annual plan as well as evolving the QAR strategy to align with regulatory expectations and industry best practices.? Evolves and enhances the QM and QAR subject matter expertise, program, and processes.? Plans and leads quality assurance activities that require understanding across multiple areas of the Compliance function.? Acts as a subject matter expert on the Regulatory Compliance Management Framework and supporting Standards.? Reports the results of the QM and QAR activities to key stakeholders.? Provide leadership to CSET members in delivering the Road to Strong Program for Global Compliance, leading QAR and Quality Monitoring workstreams as needed.? Lead / facilitate compliance engagement in governance programs, offering guidance, and contributing to the development of associated frameworks, policies, processes, and procedures.? Guides the team and participates in identification of issues and applicable recommendations to the Compliance teams.? Identifies key gaps in the execution of the RCM Framework and Standards and recommends possible methodology improvement and training opportunities.? 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.? Develop and grow the compliance aspect of risk management programs, working in coordination with relevant teams.? Foster a culture receptive to innovation and change within the compliance team, promoting adaptability and forward-thinking.Key Shared Accountabilities:? Set "tone at the top" in support of a strong risk & compliance culture within Compliance and across the enterprise.? With business and other Risk partners promote a strong governance & control environment with periodic assessments against industry practices? With Risk, ensure that the Bank operates within the compliance risk appetite and that operational risk from a Compliance standpoint is being effectively mitigated, assessed, and managed.? Keeps current on emerging risks, trends and evolving regulatory requirements for Compliance and the QM and QAR teams.? Builds positive, diverse, and open work environment by continually improving the efficiency, sharing deep knowledge and skills, and encouraging the team to deliver results.? Attracts, develops, retains talent, and maintains an active talent pipeline.Job Requirements:? University degree required: Post Graduate degree preferred? CPA, CA and/or CIA designation preferred? 10+ years of relevant in
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LocationToronto, ON
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SalaryNot available
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Terms of employment
Full time
- Start date
Starts as soon as possible
- vacancies
1 vacancy
- Source
CareerBeacon
#2084945
Advertised until
2024-07-21
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