Avp, Audit, Regulatory Compliance Management

1 day ago

Toronto, Canada TD Bank Full time

**Work Location**:
Canada

**Hours**:
37.5

**Line of Business**:
Audit

**Pay Details**:
**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 enviro

  • AVP, Audit, Regulatory Compliance Management Oversight

    15 hours ago

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

    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...

  • Audit Manager Regulatory Compliance Oversight

    6 hours ago

    Toronto, Ontario, Canada The Toronto-Dominion Bank (Canada) Full time

    Job Title: AVP, Audit, Regulatory Compliance Management OversightDescriptionThe AVP, Audit, Regulatory Compliance Management Oversight role is responsible for overseeing the 3rd line of defense audit coverage for TD Bank's regulatory compliance management (RCM) Framework. This includes oversight functions in the second line compliance function as well as RCM...

  • Audit Manager Regulatory Compliance Oversight

    4 hours ago

    Toronto, Ontario, Canada The Toronto-Dominion Bank (Canada) Full time

    Job Title: AVP, Audit, Regulatory Compliance Management OversightDescriptionThe AVP, Audit, Regulatory Compliance Management Oversight role is responsible for overseeing the 3rd line of defense audit coverage for TD Bank's regulatory compliance management (RCM) Framework. This includes oversight functions in the second line compliance function as well as RCM...

  • Avp Audit, Business Management

    3 months ago

    Toronto, Canada TD Bank Full time

    **AVP Audit, Business Management**: - 417309BR **Job Category - Primary** - Audit **Work Location** - TD Centre - TD Tower - 66 Wellington Street West **Employment Type** - Regular **City** - Toronto **Time Type** - Full Time **State** - Ontario **Hours** - 37.5 **Department Overview** - Our team of trusted Internal Audit professionals serve as the...

  • AVP, Investment Funds

    4 weeks ago

    Old Toronto, Canada AGF Management Limited Full time

    p> AVP, Investment Funds & Product Compliance page is loaded AVP, Investment Funds & Product Compliance Apply locations Toronto, ON time type Full time posted on Posted 19 Days Ago job requisition id R10998 About AGF:Founded in 1957, AGF Management Limited is an independent and globally diverse asset management firm. AGF...

  • Regulatory Compliance Audit Manager

    7 days ago

    Toronto, Ontario, Canada Royal Bank of Canada Full time

    Job SummaryThe Manager, Regulatory Compliance Audit is a key role within our organization, responsible for leading and managing regulatory compliance audit projects. This individual will be a subject matter expert in risk management and regulatory compliance management, with a strong understanding of corporate governance and regulatory requirements.This role...

  • Regulatory Compliance Audit Manager

    7 days ago

    Toronto, Ontario, Canada Royal Bank of Canada Full time

    Job SummaryThe Manager, Regulatory Compliance Audit is a key role within our organization, responsible for leading and managing regulatory compliance audit projects. This individual will be a subject matter expert in risk management and regulatory compliance management, with a strong understanding of corporate governance and regulatory requirements.This role...

  • Regulatory Compliance Audit Manager

    1 day ago

    Toronto, Ontario, Canada Royal Bank of Canada Full time

    Job SummaryThe Manager, Regulatory Compliance Audit is a dynamic and adaptable leader who will support enterprise-level audit assurance projects, contribute to the development of continuous assurance and monitoring audit approaches, and develop the Audit's regulatory compliance Center of Excellence (CoE). As a subject matter expert in risk management and...

  • Regulatory Compliance Audit Manager

    23 hours ago

    Toronto, Ontario, Canada Royal Bank of Canada Full time

    Job SummaryThe Manager, Regulatory Compliance Audit is a dynamic and adaptable leader who will support enterprise-level audit assurance projects, contribute to the development of continuous assurance and monitoring audit approaches, and develop the Audit's regulatory compliance Center of Excellence (CoE). As a subject matter expert in risk management and...

  • Regulatory Compliance Audit Manager

    2 weeks ago

    Toronto, Ontario, Canada Royal Bank of Canada> Full time

    Job SummaryThe Royal Bank of Canada is seeking a highly skilled Regulatory Compliance Audit Manager to join our team. As a key member of our Internal Audit department, you will play a critical role in ensuring the bank's compliance with regulatory requirements and maintaining the highest standards of risk management.Key ResponsibilitiesLead the execution of...

  • Regulatory Compliance Audit Manager

    2 weeks ago

    Toronto, Ontario, Canada Royal Bank of Canada> Full time

    Job SummaryThe Royal Bank of Canada is seeking a highly skilled Regulatory Compliance Audit Manager to join our team. As a key member of our Internal Audit department, you will play a critical role in ensuring the bank's compliance with regulatory requirements and maintaining the highest standards of risk management.Key ResponsibilitiesLead the execution of...

  • Regulatory Compliance Audit Manager

    2 weeks ago

    Toronto, Ontario, Canada Royal Bank of Canada> Full time

    Job SummaryThe Royal Bank of Canada is seeking a highly skilled Regulatory Compliance Audit Manager to join our team. As a key member of our Internal Audit department, you will play a critical role in ensuring the bank's compliance with regulatory requirements and maintaining the highest standards of risk management.Key ResponsibilitiesLead the execution of...

  • Regulatory Compliance Audit Manager

    2 weeks ago

    Toronto, Ontario, Canada Royal Bank of Canada> Full time

    Job SummaryThe Royal Bank of Canada is seeking a highly skilled Regulatory Compliance Audit Manager to join our team. As a key member of our Internal Audit department, you will play a critical role in ensuring the bank's compliance with regulatory requirements and maintaining the highest standards of risk management.Key ResponsibilitiesLead the execution of...

  • Regulatory Compliance Audit Manager

    2 weeks ago

    Toronto, Ontario, Canada Royal Bank of Canada Full time

    Job SummaryThe Royal Bank of Canada is seeking a highly skilled and experienced Regulatory Compliance Audit Manager to join our team. As a key member of our Internal Audit department, you will play a critical role in ensuring the bank's compliance with regulatory requirements and maintaining the highest standards of risk management.Key...

  • Regulatory Compliance Audit Manager

    2 weeks ago

    Toronto, Ontario, Canada Royal Bank of Canada Full time

    Job SummaryThe Royal Bank of Canada is seeking a highly skilled and experienced Regulatory Compliance Audit Manager to join our team. As a key member of our Internal Audit department, you will play a critical role in ensuring the bank's compliance with regulatory requirements and maintaining the highest standards of risk management.Key...

  • Regulatory Compliance Audit Manager

    2 weeks ago

    Toronto, Ontario, Canada Royal Bank of Canada Full time

    Job SummaryThe Regulatory Compliance Audit Manager is a dynamic and adaptable leader who will support enterprise-level audit assurance projects and contribute to the development of continuous assurance/monitoring audit approaches. As a subject matter expert in risk management and regulatory compliance management, you will leverage data analytics and data...

  • Regulatory Compliance Audit Manager

    2 weeks ago

    Toronto, Ontario, Canada Royal Bank of Canada Full time

    Job SummaryThe Regulatory Compliance Audit Manager is a dynamic and adaptable leader who will support enterprise-level audit assurance projects and contribute to the development of continuous assurance/monitoring audit approaches. As a subject matter expert in risk management and regulatory compliance management, you will leverage data analytics and data...

  • Regulatory Compliance Audit Manager

    5 days ago

    Toronto, Ontario, Canada Royal Bank of Canada> Full time

    Job SummaryThe Regulatory Compliance Audit Manager is a seasoned professional with expertise in risk management and regulatory compliance management. This role requires a dynamic and adaptable leader who can motivate and deliver in a team engagement environment.Key ResponsibilitiesParticipate in the execution of risk-based Enterprise level regulatory...

  • Regulatory Compliance Audit Manager

    4 days ago

    Toronto, Ontario, Canada Royal Bank of Canada> Full time

    Job SummaryThe Regulatory Compliance Audit Manager is a seasoned professional with expertise in risk management and regulatory compliance management. This role requires a dynamic and adaptable leader who can motivate and deliver in a team engagement environment.Key ResponsibilitiesParticipate in the execution of risk-based Enterprise level regulatory...

  • Regulatory Compliance Audit Manager

    1 week ago

    Toronto, Ontario, Canada Royal Bank of Canada> Full time

    Job SummaryThe Royal Bank of Canada is seeking a highly skilled and experienced Regulatory Compliance Audit Manager to join our team. As a key member of our Internal Audit department, you will be responsible for leading enterprise-level regulatory compliance audit projects, developing continuous assurance and monitoring approaches, and contributing to the...