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AVP, Compliance Programs, Strategy, and Operations

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TD Bank

Oct 5, 2024

  • Job
    Full-time
    Expert Level
  • Government & Politics
    Legal
  • Toronto
  • Quick Apply

AI generated summary

  • You need a Post Graduate degree, 10+ years in compliance, strong communication and leadership skills, strategic thinking, financial acumen, and the ability to navigate ambiguity and build relationships.
  • You will manage compliance strategies, oversee remediation activities, coordinate cross-functional initiatives, analyze FTE insights, lead audit engagements, and support compliance leadership meetings.

Requirements

  • University degree required: Post Graduate degree preferred
  • 10+ years of relevant industry and management experience
  • Familiarity with regulations and compliance strategies and risk management; possesses and demonstrates expertise in the advisory, policy, change management, project management and operations
  • Highest personal and professional integrity and standards to advance TD's vision and protect the brand
  • Strong verbal and written communication skills, including public speaking/presentation skills and well developed listening and negotiation skills
  • Ability to work in a fast-paced environment and manage multiple priorities
  • People leadership and management experience focused on talent development and coaching to nurture a high performing team
  • Ability to operate in an evolving, sometimes ambiguous, matrixed environment.
  • Strategic thinker; has excellent judgment, achieves the right risk/reward balance
  • Demonstrates ability delivering on objectives, focuses on what matters and can work across silos to build effective working relationships
  • Transparent communicator and respected TD representative, both internally and externally
  • Models TD's executive leadership profile: skilled leader, high confidence, low ego, inspiring to professionals, operates through influence, motivates and developments leadership teams
  • Advances TD's leadership development, colleague experience & diversity agenda
  • Possesses an advanced level of financial and strategic acumen to provide insight on strategy development and execute effectively on a broad range of key business management activities
  • Strong relationship building and negotiation skills and the ability to interact with sensitivity and leadership to advance and influence the culture Compliance aims to promote
  • Demonstrates strong problem solving & analytical skills, including the ability to comprehend a situation by breaking it down into its components and identifying underlying issues
  • Expertise in working effectively in ambiguity with all levels of colleagues and executives to enhance the colleague experience
  • Exhibits confident presentation and facilitation skills and strong interpersonal and leadership skills to facilitate working with business and senior management at all levels

Responsibilities

  • Manages and executes against the Compliance Strategic Priorities, including driving the continuous improvement program to support the Enterprise Compliance Program.
  • Responsible for the coordination for cross business or across second line partner initiatives that require input from Compliance.
  • Own and coordinate of the remediation activities associated with the key Compliance Program elements: including root cause/remediation of root cause, identification of themes across teams, holistic process improvement, and timely reporting to CCO on finding management.
  • Responsible for change management and communication strategy for initiatives that impact broad first and second stakeholders.
  • Partner with second line colleagues to support the harmonization of risk frameworks (risk assessments, controls, monitoring and testing, etc.).
  • Own Compliance Governance processes and documentation on the monitoring and escalation of compliance risks. Close partner to Strategic Insights and Reporting.
  • Owns FTE management – identification of themes and insights to address; including oversight of vacancy rates/root cause analysis by Compliance team to identify emerging risk; identifies opportunities to manage headcount and remove obstacles to timely recruiting.
  • Leads audit and exam engagement and management support for compliance programs.
  • Lead the business requirements for Compliance Program Team (BCM lead, represent compliance program on ad hoc committees, etc.).
  • Own and lead meeting agenda for Compliance Program Leadership meetings and support the Reward and Recognition program.
  • Provide general support to the Vice President of Compliance Programs.

FAQs

What is the work location for this position?

The work location for this position is Canada.

What are the working hours for this role?

The working hours for this role are 37.5 hours per week.

Who does the AVP, Compliance Programs, Strategy, and Operations report to?

The AVP, Compliance Programs, Strategy, and Operations reports to the TDBG VP, Compliance Programs.

What are the key responsibilities of the AVP, Compliance Programs, Strategy, and Operations?

Key responsibilities include managing compliance strategic priorities, coordinating cross-business initiatives, overseeing remediation activities, managing change communication strategies, and leading audit engagements, among other duties.

What qualifications are required for this position?

A university degree is required, with a post-graduate degree preferred, along with 10+ years of relevant industry and management experience.

Is previous compliance and risk management experience necessary for this role?

Yes, familiarity with regulations, compliance strategies, and risk management is essential for this position.

Does TD offer support for colleague development and training?

Yes, TD provides support for colleague development through regular career conversations, mentorship, training programs, and access to an online learning platform.

What type of compensation and benefits does TD offer?

TD offers a Total Rewards package that includes a base salary, variable compensation, health and well-being benefits, savings and retirement programs, and various perks.

Is there a diversity and inclusion initiative within TD?

Yes, TD is committed to advancing diversity and inclusion as part of its leadership development and colleague experience agenda.

Are accommodations provided during the interview process?

Yes, TD provides accommodations to help remove barriers, ensuring candidates can participate fully in the interview process.

What is the interview process like for this position?

The interview process includes scheduling interviews with candidates of interest, and the company aims to communicate outcomes to all applicants by email or phone call.

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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