JOB DESCRIPTION
Reporting to the Senior Manager, CPM, the Manager ensures regulatory compliance issues are managed across the enterprise and is responsible for the development of oversight activities that govern and support the identification, assessment, monitoring, and reporting of issues.
Key accountabilities include:
- Lead and strengthen the development of governance and control activities to help monitor and track regulatory compliance issues across Compliance.
- Become an eGRC subject matter expert to provide support/assistance to Compliance Units in navigating the Issues Management workflow (i.e., MERLIN).
- Lead the update of the Enterprise Regulatory Compliance Issues Management Procedures to ensure alignment with the Enterprise Issues Management Framework and Issues Management Standard, audit observations, and general best practices.
- Lead the creation and maintenance of job aids, guidance material, process maps, etc. that support issue identification, assessment, remediation, and closure.
- Develop and enhance oversight processes to monitor the health and effectiveness of control environments across business lines.
- Contribute to the development of escalation criteria and reporting thresholds to ensure timely visibility of significant risks and control gaps to senior leaders.
- Conduct deep dives and investigation into reporting results to determine failure in controls and/or repeat offenders.
- Support Regulatory Compliance Management assessment activities in providing analysis into regulatory compliance issues for the Global Chief Compliance Officer Opinion
- Support communication and training on issues management.
- Support the closure of findings against the Compliance Issues Management Program.
- Support ad hoc transformation changes and projects/tasks as required.
JOB REQUIREMENTS
- Experience in Compliance, Legal, Risk Management, Technology, or Internal Audit is preferred.
- Excellent communication skills including written and verbal skills– must be comfortable presenting in front of executives and large audiences.
- Self-starter, ability to lead, plan, execute, and deliver under minimal supervision.
- Knowledge of the Issues Management module in MERLIN is a plus.
- Interest in data and drawing out insights and themes.
- Proven relationship management skills and must be a strong team player.
- Flexibility to quickly adapt to changing and ambiguous initiatives or requirements.
- Ability to exercise sound judgment in making decisions. Demonstrate analytical and problem-solving skills to think critically and make informed recommendations.
- Must be highly organized and have excellent time management.
- Creative in solutioning with a strong attention to detail.
- Proficient in MS Office Applications (specifically Excel, PowerPoint, and Visio).
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.
Linked-in
Google