JOB PROFILE SUMMARY
The Compliance Business Oversight Manager provides advice, support and objective guidance to assigned portfolio, business or function on development and maintenance of all aspects of Compliance/Center of Excellence programs in line with the Bank’s risk philosophy and strategic direction.
EDUCATION & EXPERIENCE:
- Undergraduate degree or equivalent work experience
- 7+ years of experience
DESIRED SKILLS AND EXPERIENCE:
- Bachelor’s degree in Business, Finance, Data Analytics, information systems, or related field (Masters Preferred)
- 5 plus years of experience in project management, compliance, risk management or business oversight within financial services
- Experience working in a large complex organization. Proven ability to manage multiple projects simultaneously in a fast-paced environment.
- Strong skills in power BI, Excel, and PowerPoint for reporting and presentation
- Experience with Microsoft Access and SQL for database management and analysis.
- Excellent organizational, problem solving, and communication skills
- Project management certification (PMP, CAPM, CRCM or similar)
- Ability to work independently while managing competing priorities
- Strong attention to detail with the focus on accuracy and quality.
- Proactive, results-oriented, and adaptable “go-getter” mindset.
CUSTOMER ACCOUNTABILITIES:
- Proactively advises the business of new and changed Compliance regulatory and/or policy changes
- Formulates relevant and meaningful insights from data analysis and leads on the interpretation of complex business issues, generates multifaceted insights and identifies opportunities to address business regulatory requirements and issues
- Contributes to the development and implementation of Compliance programs
- Guides partner through the development, implementation, oversight and management of effective Compliance Programs
- Prepares summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of Compliance
- Represents Compliance on internal or external committees relating to designated business activities as required
- Delivers relevant subject matter expertise and Compliance advice to business management
- Conducts meaningful analysis at the functional or enterprise level using results to draw conclusions, makes recommendations, assesses the effectiveness of programs/policies/practices
- Maintains oversight (via review and approval) of all functions and accountabilities related to management reporting and analysis
- Manages high risk initiatives and escalations; leads initiatives/guidance as appropriate
SHAREHOLDER ACCOUNTABILITIES:
- Actively assists in developing Compliance Team procedures
- Facilitates the periodic Compliance risk and self-assessment activities for designated business using TD’s Enterprise Compliance Risk Assessment Framework
- Monitors that assessments (monitoring, risk assessment etc.) are completed and communicated in a continuous and timely fashion
- Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate
- May provide review and content in the development of annual awareness training
- Manages the risk assessment process for assigned businesses
- Protects the interests of the organization, our customers and our communities – identifies and manages risks, and promotes the prompt and thorough resolution of escalated non-standard, high risk issues
- Conducts internal and external research projects; supports the development/delivery of presentations/communications to management or broader audience
- Actively manages relationships within and across various business lines, corporate and/or control functions and promotes alignment with enterprise and/or regulatory requirements
- Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts
- Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite
EMPLOYEE/TEAM ACCOUNTABILITIES:
- Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and promotes timely communication of issues/points of interest
- Provides thought leadership and/or industry knowledge for own area of expertise and participates in knowledge transfer within the team and business
- Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques
- Participates in personal performance management and development activities, including cross training within own team
- Keeps others informed and up-to-date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities
- Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices
- Leads, motivates and develops relationships with internal and external business partners/stakeholders to develop productive working relationships
- Contributes to a fair, positive and equitable environment that supports a diverse workforce
- Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally
PHYSICAL REQUIREMENTS:
Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%
- Domestic Travel – Occasional
- International Travel – Never
- Performing sedentary work – Continuous
- Performing multiple tasks – Continuous
- Operating standard office equipment - Continuous
- Responding quickly to sounds – Occasional
- Sitting – Continuous
- Standing – Occasional
- Walking – Occasional
- Moving safely in confined spaces – Occasional
- Lifting/Carrying (under 25 lbs.) – Occasional
- Lifting/Carrying (over 25 lbs.) – Never
- Squatting – Occasional
- Bending – Occasional
- Kneeling – Never
- Crawling – Never
- Climbing – Never
- Reaching overhead – Never
- Reaching forward – Occasional
- Pushing – Never
- Pulling – Never
- Twisting – Never
- Concentrating for long periods of time – Continuous
- Applying common sense to deal with problems involving standardized situations – Continuous
- Reading, writing and comprehending instructions – Continuous
- Adding, subtracting, multiplying and dividing – Continuous
The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.
LI-AMCBCorporate
WHO WE ARE:
TD is one of the world’s 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 95,000 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 you’ve 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, we’re here to support you towards your goals. As an organization, we keep growing – and so will you.
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