Compliance, Quality Control

6 months ago

Toronto, Canada TD Bank Full time

**Work Location**:
Toronto, Ontario, Canada

**Hours**:
37.5

**Line of Business**:
Governance & Control

**Pay Details**:
**KEY ACCOUNTABILITIES**

**CUSTOMER**
- **Contribute to the strategic direction of the business governance and control function and play a key role in the development and implementation of risk strategies in support of the overall business strategy**
- **Develop and document a comprehensive inventory of processes and controls with clearly defined owners and roles and responsibilities for each process and control**
- **Participate in the intake of applicable regulation, assessment of impact to the business line, and the comprehensive mapping of associated controls to rules and regulations.**
- **Review end-to-end processes and controls and “connect the dots” across issues and control deficiencies across various BUs in order to increase standardization of solutions, processes and controls**
- **Lead the integrated execution of policies / procedures / changes across multiple functional areas**
- **Provide direction to complex, wide ranging enterprise or cross-function / business projects as a SME, identify risk / provide guidance for complex situations and participate in designing, testing, and implementation of solutions**
- **Act as lead for area of specialization with industry, enterprise, and business awareness; recognizing and anticipating emerging trends and; identifying issues and opportunities and recommending action to senior management in the governance and control space**

**SHAREHOLDER**
- **Ensure programs / policies / practices are well managed, meets business needs / priorities, and complies with internal / external requirements**
- **Exercise discretion in managing communication / correspondence, information and all matters of confidentiality**
- **Lead research projects; support the development / delivery of materials and presentations to management or broader audience**
- **Conduct analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess the effectiveness of programs, policies, or practices**
- **Adhere to enterprise frameworks or methodologies that relate to activities across businesses and functions**
- **Manage relationships within and across various business lines, corporate and/or control functions and ensure alignment with enterprise and/or regulatory requirements**
- **Protect the interests of the organization - identify and manage risks, and escalate non-standard, high risk transactions / activities as necessary**
- **Maintain a culture of risk management and control, supported by processes in alignment with risk appetite**
- **Be knowledgeable of and comply with Bank Code of Conduct**

**EMPLOYEE / TEAM**
- **Participate as a member of the team, support a positive work environment and ensure timely communication**
- **Provide leadership as a SME and participate in knowledge transfer within the team / business unit**
- **Keep current on emerging trends / developments and grow knowledge of the business, related tools and techniques**
- **Keep others informed about the status / progress of projects**
- **Contribute to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices.**
- **Contribute to a fair, positive and equitable environment**
- **Act as a brand ambassador for your business area/function and the bank**

**BREADTH & DEPTH**
- **Highly seasoned professional role requiring substantial business knowledge / expertise in a complex field and knowledge of broader related areas**
- **Integrates knowledge of the enterprise sub-function’s or business line’s overarching strategy in developing solutions across multiple functions or operations**
- **Ability to work collaboratively and build relationships across teams and functions**
- **Interprets internal/external business challenges and the industry environment, recommends course of action and best practices to improve products, processes or services**
- **Acts as a technical expert / lead integrating cross-function understanding within their own field of specialty; may manage team(s) of related specialists**
- **Leads cross-functional teams or projects with significant resource requirements, risk and / or complexity**
- **Independently manages end-to-end functional programs**
- **Solves or may lead others to solve complex problems; leads efforts or partners with others to develop new solutions**
- **Works autonomously as the lead and guides others within area of expertise**
- **Generally reports to a Senior Manager or above**

**EXPERIENCE & EDUCATION**
- **Undergraduate degree preferred**
- **Advanced business understanding and knowledge of risk and control functions**
- **7+ years of relevant experience**

**Role of QC Resources**
- **Perform Quality Control and Quality Assurance activities to test and validate adherence Third Party Risk Management Policy, Standards an

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