Logo of Huzzle

Home

Matches

Explore

Manage

AVP, Audit, Regulatory Compliance Management Oversight

image

TD Bank

Oct 5

  • Job
    Full-time
    Expert Level
  • Legal
    Accounting & Tax
  • Toronto
  • Quick Apply

AI generated summary

  • You need an undergraduate degree, 10+ years in audit, compliance expertise, strong leadership skills, and excellent communication abilities. Passion for financial services changes is essential.
  • You will design and execute a risk-based Audit Plan, build a skilled team, manage stakeholder relationships, ensure quality work, identify control gaps, and oversee the budget.

Requirements

  • Undergraduate degree required; Post Graduate degree preferred
  • Professional Accreditation such as Chartered Professional Accountant or Chartered Financial Analyst would be an asset
  • 10+ years leading Audit within a regulatory environment
  • Compliance (2nd line coverage preferred) audit expertise
  • Passion for understanding how rapid changes in the financial services sector will impact the enterprise
  • Previous experience developing and executing on strategies in both the short and long term
  • Strong people management skills; experience building and leading high performing teams
  • Demonstrated relationship building and stakeholder management skills, with the ability to make things happen through the use of positive influence
  • Excellent analytical skills in assessing risk, issues and challenging the status quo
  • Skillful communication (written and verbal), negotiation and partnership skills to balance stakeholder input but remain objective to reach the right outcome
  • Ability to stay resilient under pressure
  • Strong presentation skills to facilitate working with senior management and representing the division
  • Robust organizational skills with the ability to work in a fast-paced environment and manage multiple deadlines and priorities

Responsibilities

  • Design, plan & execute Audit Plan for coverage of Compliance (non-US), Regulatory Compliance Management Oversight Functions
  • Responsible for the broader Division mandate to contribute to a strong control culture
  • Develop a team focused on enterprise compliance, not just local needs
  • Develop & maintain strong relationships with key stakeholders
  • Staff the function with appropriately skilled individuals and augment with SMEs where necessary
  • Attract, develop and retain key talent, making audit a great place to work
  • Develop a risk-based Audit Plan & deliver the plan evenly over the course of the year
  • Ensure quality of work meets division standards
  • Identify all significant control gaps in areas we audit
  • Provide clear, comprehensive and timely reporting on significant control matters
  • Manage financial budget within plan and risk

FAQs

What are the primary responsibilities of the AVP, Audit, Regulatory Compliance Management Oversight position?

The primary responsibilities include designing and executing the Audit Plan for compliance, contributing to a strong control culture, developing a team focused on enterprise compliance, maintaining relationships with key stakeholders, and ensuring the quality of work meets division standards.

What qualifications are required for this role?

An undergraduate degree is required, with a postgraduate degree preferred. Professional accreditation such as Chartered Professional Accountant or Chartered Financial Analyst would be an asset.

How many years of experience are expected for candidates applying for this position?

Candidates are expected to have 10+ years of experience leading audit within a regulatory environment.

Is previous compliance audit expertise preferred?

Yes, compliance audit expertise, preferably with second-line coverage, is preferred for this role.

What skills are essential for the AVP position?

Essential skills include strong people management, relationship building, analytical skills, effective communication, and robust organizational skills.

Will the successful candidate be involved in team management?

Yes, the AVP will be responsible for overseeing a team of audit professionals, developing talent, and building a high-performing team.

What kind of training and onboarding does TD provide to new hires?

TD provides training and onboarding sessions to ensure that new hires have everything they need to succeed in their new role.

What is the work location for this position?

The work location for the AVP, Audit, Regulatory Compliance Management Oversight position is Canada.

What is the expected work hours for this role?

The expected work hours for this role are 37.5 hours per week.

Is there an opportunity for career development within TD?

Yes, TD is committed to supporting colleagues through regular career development conversations, mentorship, and access to an online learning platform to help identify future opportunities.

image

TD Bank

Finance
Industry
10,001+
Employees

Mission & Purpose

Headquartered in Toronto, Canada, the Toronto-Dominion Bank and its subsidiaries are collectively known as TD Bank Group (TD). TD had CDN$1.9 trillion in assets on July 31, 2023. TD also ranks among the world’s leading online financial services firms, with more than 16 million active online and mobile customers. TD offers a full range of financial products and services to over 27.5 million customers worldwide through four key business lines: - Canadian Personal and Commercial Banking including TD Canada Trust, Business Banking, and MBNA - U.S. Retail including TD Bank, America’s Most Convenient Bank, TD Auto Finance (U.S.), TD Wealth (U.S.) and TD’s investment in Schwab - Wealth Management & Insurance including TD Wealth (Canada), TD Direct Investing, and TD Insurance - Wholesale Banking including TD Securities and TD Cowen