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AVP, Audit, Regulatory Compliance Management Oversight
1 month ago
AVP, Audit, Regulatory Compliance Management OversightWork Location: CanadaHours: 37.5Line of Business: AuditPay Details: We’re committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.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.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 adviceAct like an owner; lead with integrity to drive business results and contribute to communitiesExecute with speed and impact; only take risks we can understand and manageInnovate with purpose; simplify the way we workDevelop our colleagues; embrace diversity and respect one anotherJob 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 FunctionsResponsible for the broader Division mandate to contribute to a strong control cultureDevelop a team focused on enterprise compliance, not just local needs.Develop & maintain strong relationships with key stakeholdersStaff the function with appropriately skilled individuals and augment with SMEs where necessary.Attract, develop and retain key talent, making audit a great place to workDevelop 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 auditProvide clear, comprehensive and timely reporting on significant control matters.Manage financial budget within plan and riskJob Requirements:Undergraduate degree required; Post Graduate degree preferredProfessional Accreditation such as Chartered Professional Accountant or Chartered Financial Analyst would be an assetOther Qualifications/Skills/Experience:10+ years leading Audit within a regulatory environmentCompliance (2nd line coverage preferred) audit expertisePassion 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 termStrong people management skills; experience building and leading high performing teamsDemonstrated relationship building and stakeholder management skills, with the ability to make things happen through the use of positive influenceExcellent analytical skills in assessing risk, issues and challenging the status quoSkillful communication (written and verbal), negotiation and partnership skills to balance stakeholder input but remain objective to reach the right outcomeAbility to stay resilient under pressureStrong presentation skills to facilitate working with senior management and representing the divisionRobust organizational skills with the ability to work in a fast-paced environment and manage multiple deadlines and priorities
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