Avp, audit, regulatory compliance management oversight

1 month ago

Old Toronto, Canada TD Full time

Lieu de travail: Canada

Horaire: 37.5

Secteur d’activité: Audit

Détails de la rémunération:

Nous avons à cœur d’offrir une rémunération juste et équitable à tous nos collègues. En votre qualité de candidat ou de candidate, nous vous encourageons à avoir une conversation franche avec votre recruteur et à poser des questions sur la rémunération, notamment les particularités salariales de ce poste.

Description du poste:

Department Overview:

Our team of trusted audit professionals interact with every part of the Bank to provide strategic guidance and independent oversight. Through due diligence, and with a strong sense of integrity, we help mitigate potential risks to our business. At the heart of audit is our specialization in all the businesses across the bank.

Safeguarding the reputation of TD's good governance depends on us.

We’re counted on to provide recommendations to enhance operational performance, at every single level to foster meaningful process improvements and ensure adherence to internal and external regulations. We crunch the data, consult with our partners and stakeholders, and present our findings to mitigate the risks of today and around the corner and help keep our daily operations running smoothly for our customers.

Associate Vice President Profile:

Associate Vice Presidents (AVPs) at TD Bank Group contribute to the overall reputation of TD. As executives, AVPs help to set the ethical, organizational and performance standard for the teams they lead and exemplify how an effective performance and development culture functions day to day. An AVP is expected to guide his/her team, collaborating as appropriate with TD partners, to deliver superior results in both the short and long term.

AVPs promote adherence to TDBG’s vision and purpose to be the better bank, and to enrich the lives of customers, communities and colleagues. As part of the general management of their function, AVPs are accountable to deliver against TD's five shared commitments:

  • Think like a customer; provide legendary experiences and trusted advice
  • Act like an owner; lead with integrity to drive business results and contribute to communities
  • Execute with speed and impact; only take risks we can understand and manage
  • Innovate with purpose; simplify the way we work
  • Develop our colleagues; embrace diversity and respect one another

Job Description / Accountabilities:

The AVP, Audit, Compliance (non-US), Regulatory Compliance Management Oversight Functions will be responsible for the 3rd line of defence audit coverage for TD Bank's regulatory compliance management (RCM) Framework, including oversight functions in the second line compliance function as well as RCM oversight functions outside of compliance environment.

Reporting to the VP Audit, Compliance, the AVP is a leader within Internal Audit responsible for overseeing a team of Audit professionals. The general accountabilities of this role include but are not limited to the following:

  • 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

Job Requirements:

  • Undergraduate degree required; Post Graduate degree preferred
  • Professional Accreditation such as Chartered Professional Accountant or Chartered Financial Analyst would be an asset

Other Qualifications/Skills/Experience:

  • 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
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