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Senior Manager, Governance & Control

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TD Bank

Oct 16

  • Job
    Full-time
    Senior Level
  • Government & Politics
    Banking & Finance
  • Toronto
  • Quick Apply

AI generated summary

  • You must have a relevant degree, 8+ years in compliance or audit, strong leadership and interpersonal skills, adaptability, effective communication, and solid time management abilities.
  • You will oversee RCM governance, guide LOB on compliance, manage assessments, build stakeholder relationships, report on trends, and advise on regulatory requirements, ensuring program alignment.

Requirements

  • University or Post-Graduate degree; compliance/auditing/risk management designation would be considered an asset.
  • Solid knowledge of compliance governance, compliance management practices, enterprise compliance policy, standards & strategy.
  • Minimum 8 years of Compliance, Risk, and/or Audit experience (financial services industry preferred).
  • Experience as a people leader focused on a strong coaching culture, talent development and employee experience through recognition.
  • Strong interpersonal and relationship management skills.
  • Flexibility to quickly adapt to changing and ambiguous initiatives or requirements and ability to work collaboratively across functions and thrive in a fast-paced environment.
  • Effective time management, multi-tasking, and organizational skills to meet tight timeframes.
  • Well-developed written and verbal communication skills, as well as confident presentation and facilitation skills.
  • Ability to take initiative and work independently and in a team environment.

Responsibilities

  • Demonstrate a strong understanding and promote awareness of RCM Standards.
  • Oversee RCM governance activities (e.g., Regulatory Change, RCM Assessments, Monitoring and Testing, etc.) across the TDS business.
  • Provide guidance to the Line of Business (LOB) and on RCM requirements to meet the RCM Standards.
  • Build and maintain constructive relationships with TDS and Compliance partners as well as other key stakeholders to ensure TDS RCM Program requirements are understood and met.
  • Identify, prioritize, action, and escalate (as required) key RCM governance issues and instances of non-compliance with RCM Standards within the Business to senior executives.
  • Lead, manage and oversee the semi-annual Regulatory Compliance Management Risk Assessment (RCMRA), coordinating required activities and input from TDS 1A partners, submissions to Compliance, and overseeing completion of any related action plans.
  • Maintain a comprehensive understanding and be the key contact on existing and emerging regulatory requirements, inherent risks, Compliance Policies and Standards, to ensure program alignment and provide tailored advice and strategic counsel to TDS partners.
  • Have oversight of TDS RCM reporting as required.
  • Participate in TDS and enterprise RCM committees, meetings, or programs.
  • Respond to all requests in a timely manner.
  • Recognize emerging TDS RCM trends, issues, and opportunities, and recommend actions to management.
  • Provide specialized TDS RCM governance and control related advice and strategic direction to support management, TDS partners, and other RCM stakeholders.
  • Fully participate as a member of the team, promoting team effectiveness and contributing to a positive work environment.

FAQs

What is the location for this job position?

The job position is located in Canada.

What are the working hours for this role?

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

What department will I be working in?

You will be working in the TD Securities' Governance & Control (G&C) team.

What is the primary responsibility of the Senior Manager in this position?

The primary responsibility is to support TDS businesses in adhering to Regulatory Compliance Management (RCM) Standards requirements and managing risk.

What qualifications are required for this job?

A university or post-graduate degree is required, with a compliance/auditing/risk management designation considered an asset.

How much experience is needed for this role?

A minimum of 8 years of Compliance, Risk, and/or Audit experience is required, preferably in the financial services industry.

What skills are emphasized for candidates applying for this position?

Strong interpersonal and relationship management skills, effective time management, multi-tasking, and well-developed written and verbal communication skills are emphasized.

Does the job require participation in committees or meetings?

Yes, you will be required to participate in TDS and enterprise RCM committees, meetings, or programs.

Is there an emphasis on career development in this role?

Yes, the organization is committed to providing support for career development through regular conversations, training programs, and mentoring opportunities.

Are there any specific accommodations available for applicants during the interview process?

Yes, accommodations such as accessible meeting rooms and captioning for virtual interviews can be provided to help remove barriers during the interview process.

How is the compensation structured for this job?

The compensation for this job includes a base salary, variable compensation, and various benefits such as health and well-being benefits, savings and retirement programs.

Who will I report to in this role?

You will report to the Assistant Vice President (AVP) of TDS Governance & Control.

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