Audit and Compliance Management Oversight Leader
3 weeks ago
TD Bank Group is seeking a highly skilled and experienced professional to lead our Audit and Compliance Management Oversight team. As an Associate Vice President, you will be responsible for overseeing 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.
Key Responsibilities:
- Design, plan, and execute audit plans 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 and 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 and 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
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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