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AVP, Compliance Quality Assurance

3 months ago

Golden Horseshoe, Canada The Toronto-Dominion Bank (Canada) Full time

AVP, Compliance Quality Assurance page is loaded AVP, Compliance Quality Assurance Apply remote type Hybrid locations Toronto, Ontario time type Full time posted on Posted Yesterday job requisition id R_1353580

Work Location:

Toronto, Ontario, Canada

Hours:

37.5

Line of Business:

Compliance

Pay Details:

We’re committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.

Job Description:

Department Overview:


The Global Compliance Department is responsible for overseeing regulatory compliance across TDBG in accordance with the Global Compliance Operating Framework. The team is accountable for promoting regulatory compliance by developing and maintaining compliance programs, including identifying and disseminating regulatory developments to businesses they support, maintaining Compliance policies, managing complaints and regulatory filings, providing relevant training, carrying out independent monitoring and oversight activities, reporting on the state of compliance to the Board, UDP and senior management, as needed, and providing advice and support, as required.

Job Details:

The AVP, Compliance, Quality Assurance reports to the TDBG SVP, Deputy Chief Compliance Officer and Compliance Transformation.

Individual Accountabilities:

• Oversees and lead the teams responsible for Compliance Units Quality Monitoring (QM) and Quality Assurance Review (QAR) programs for Global Compliance.
• Develop and executes the Quality Monitoring and QAR annual plan as well as evolving the QAR strategy to align with regulatory expectations and industry best practices.
• Evolves and enhances the QM and QAR subject matter expertise, program, and processes.
• Plans and leads quality assurance activities that require understanding across multiple areas of the Compliance function.
• Acts as a subject matter expert on the Regulatory Compliance Management Framework and supporting Standards.
• Reports the results of the QM and QAR activities to key stakeholders.
• Provide leadership to CSET members in delivering the Road to Strong Program for Global Compliance, leading QAR and Quality Monitoring workstreams as needed.
• Lead / facilitate compliance engagement in governance programs, offering guidance, and contributing to the development of associated frameworks, policies, processes, and procedures.
• Guides the team and participates in identification of issues and applicable recommendations to the Compliance teams.
• Identifies key gaps in the execution of the RCM Framework and Standards and recommends possible methodology improvement and training opportunities.
• Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required.
• Develop and grow the compliance aspect of risk management programs, working in coordination with relevant teams.
• Foster a culture receptive to innovation and change within the compliance team, promoting adaptability and forward-thinking.

Key Shared Accountabilities:

• Set "tone at the top" in support of a strong risk & compliance culture within Compliance and across the enterprise.
• With business and other Risk partners promote a strong governance & control environment with periodic assessments against industry practices
• With Risk, ensure that the Bank operates within the compliance risk appetite and that operational risk from a Compliance standpoint is being effectively mitigated, assessed, and managed.
• Keeps current on emerging risks, trends and evolving regulatory requirements for Compliance and the QM and QAR teams.
• Builds positive, diverse, and open work environment by continually improving the efficiency, sharing deep knowledge and skills, and encouraging the team to deliver results.
• Attracts, develops, retains talent, and maintains an active talent pipeline.


Job Requirements:


• University degree required: Post Graduate degree preferred
• CPA, CA and/or CIA designation 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
• Can manage a diverse group of professionals and mobilize teams against complex requirements
• 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

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.

Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical, and mental well-being goals. Total Rewards at TD includes a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs. Learn more

Additional Information:
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development
If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.
 

Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process 
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.


Accommodation
Your accessibility is important to us. Please let us know if you’d like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you

Language Requirement:

N/A.

Our Values
At TD we’re guided by our purpose to enrich the lives of our customers, communities and colleagues, and share a set of values that shape our culture and guide our behavior. In exchange for how our colleagues show up to help TD succeed, we are committed to delivering a colleague experience grounded in Impact, Growth and a Culture of Care. No matter where you work across TD, we empower you to make an impact at work and in your community, explore and grow your career and be part of our caring and inclusive culture.

Our Commitment to Diversity, Equity, and Inclusion
At TD, we’re committed to fostering an environment where all colleagues are encouraged to bring their authentic selves to work, experience equitable opportunities, and feel respected and supported. We’re dedicated to building an inclusive workforce that reflects the diversity of the customers and the communities in which we live and serve.

Helping to Make an Impact in Communities – TD Ready Commitment
TD has a long-standing commitment to help drive progress towards a more inclusive and sustainable future. That’s why we launched the TD Ready Commitment in 2018, now a multi-year North American initiative. Under the TD Ready Commitment, we are targeting a total of C$1 billion by 2030 in community giving across four key, interconnected drivers of change: Financial Security, Vibrant Planet, Connected Communities, and Better Health. It’s our goal to help support change, nurture progress, and contribute to making the world a better, more inclusive place for our customers, colleagues, and communities. Learn more: Canada | US | Europe & Asia Pacific

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