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AVP, Compliance Quality Assurance
3 months ago
Location: Toronto, Ontario, Canada
Hours: 37.5
Business Area: Compliance
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 leads the teams responsible for Compliance Units Quality Monitoring (QM) and Quality Assurance Review (QAR) programs for Global Compliance.
- Develops 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.
- Provides leadership to CSET members in delivering the Road to Strong Program for Global Compliance, leading QAR and Quality Monitoring workstreams as needed.
- Leads/facilitates 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.
- Develops and grows the compliance aspect of risk management programs, working in coordination with relevant teams.
- Fosters 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 develops 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.
About Us: The TD is a global leader in the financial institutions sector. It is the fifth-largest bank in North America by the number of branches. Every day, we provide a legendary customer experience to over 27 million households and businesses in Canada, the United States, and around the world. More than 95,000 colleagues of the TD combine their skills, talent, and creativity in the service of the Bank, the customers it serves, and the economies it supports. We are guided by our vision of being a better bank and by our goal of enriching the lives of our customers, our communities, and our colleagues.
The TD is deeply committed to being a leader in customer experience. That is why we believe that every colleague, regardless of their business area, is in contact with customers. As our business and strategy evolve, we innovate to improve the customer experience and create capabilities to shape the future of banking services. Whether you have several years of experience in the banking sector or are just starting your career in the financial services industry, we can help you realize your full potential. You can rely on our training and mentoring programs and on conversations about development and leadership to achieve your full potential and reach your goals. Our growth as a company aligns with yours.
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