Senior Manager, Global Compliance Quality Assurance (2693)

at  TD Bank

JOB DESCRIPTION

The Compliance Department Quality professionals are responsible for the execution of Quality Assurance reviews to assess, Risk Owners and Oversight functions with established standards and procedures. The Senior Manager, Compliance Quality will execute Quality Assurance reviews and act as a subject matter expert in own area of expertise.

• Execute Quality Assurance reviews and provides feedback to Risk Owners & Oversight functions on compliance with standards and procedures.
• Evaluate the design and operating effectiveness of enterprise compliance controls
• Ensure working paper files are documented on time and according to established QAR documentation standards.
• Performs tracking and follow-up of recommendations.
• Assist the Compliance Department in identifying and remediating opportunities identified.
• Act as Strategic Advisor to leadership team on areas for focus related to execution quality, assist with recognizing and anticipating emerging trends and; identifying operational efficiencies
• Ensure Quality Assurance results are analyzed, key themes are highlighted, root causes are identified, and impact is assessed.
• Document Quality Assurance issues and enhancement opportunities in a manner which clearly articulates underlying risk and urgency of required resolution.
• Leading a team of Quality Assurance professionals, scheduling and managing performance
• Highly specialized compliance expert with in-depth knowledge to manage Quality Assurance testing for designated businesses/functional areas.

JOB REQUIREMENTS

• Undergraduate degree or relevant professional certifications, accounting designations, or equivalent education required (CPA/CIA a strong asset)
• 10+ years of relevant experience (Audit Global Compliance, Risk Management, Quality Assurance)
• Advanced knowledge of Quality Assurance standards, procedures, laws, rules and regulations
• Advanced knowledge of risk management environment, standards, regulations and mitigation
• Relevant working experience at a Financial Regulatory agency (OSFI, FED, FCAC etc.),( strong asset)
• Knowledge of current and emerging trends
• Skilled in mentoring, coaching and performance management
• Skilled in using computer applications including MS Office
• Advanced ability to lead, plan, implement and evaluate program/project activities to ensure completion of Quality Assurance activities
• Ability to communicate effectively in both oral and written form
• Ability to work collaboratively and build relationships across teams and functions
• Ability to work successfully as a member of a team and independently
• Ability to exercise sound judgement in making decisions
• Ability to analyze, organize and prioritize work while meeting multiple deadlines
• Ability to contribute to strategic direction of the compliance function and provide advice to senior leadership

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.

• Execute Quality Assurance reviews and provides feedback to Risk Owners & Oversight functions on compliance with standards and procedures.
• Evaluate the design and operating effectiveness of enterprise compliance controls
• Ensure working paper files are documented on time and according to established QAR documentation standards.
• Performs tracking and follow-up of recommendations.
• Assist the Compliance Department in identifying and remediating opportunities identified.
• Act as Strategic Advisor to leadership team on areas for focus related to execution quality, assist with recognizing and anticipating emerging trends and; identifying operational efficiencies
• Ensure Quality Assurance results are analyzed, key themes are highlighted, root causes are identified, and impact is assessed.
• Document Quality Assurance issues and enhancement opportunities in a manner which clearly articulates underlying risk and urgency of required resolution.
• Leading a team of Quality Assurance professionals, scheduling and managing performance
• Highly specialized compliance expert with in-depth knowledge to manage Quality Assurance testing for designated businesses/functional areas