Manager, Compliance Governance & Operations

Work Location

Toronto, Ontario, Canada

0

Compliance

$91,200 - $136,800 CAD

• Manage a team of Compliance professionals providing oversight and control related advisory services to Compliance partners
• Provide guidance, leadership, coaching and development to promote operational results and professional/personal development objectives are achieved
• Work with executive team, senior business management/ partners to develop proactive strategies, tactics, policies and programs to effectively manage regulatory/ compliance issues
• Act as key liaison with partners and external groups and provide Compliance subject matter expertise; partner, as necessary, effectively with key stakeholder groups such as AML, Legal, Audit, Risk
• Coach to oversee that functional/ operational problems are handled appropriately, and participate in the negotiation and resolution of complex and/or escalated issues, where necessary
• Lead and develop Compliance enterprise-wide frameworks, policies, standards, procedures in coordination with management in line with TD's Compliance Program
• Take corrective action and recommend or implement changes to procedures, as required

• Lead the team to adhere to enterprise frameworks and methodologies related to overall business management activities
• Lead relationships with corporate and/or control functions to promote alignment with enterprise and/or regulatory requirements
• Support team in staying knowledgeable on emerging issues, trends and evolving regulatory requirements and assess potential impacts to the Bank
• Assess / identify key issues and elevate to appropriate levels and relevant stakeholders and business management where required
• Identify, mitigate and report on risk issues per enterprise policy / guidance and ensure appropriate escalation processes are followed
• Manage business operations to be in compliance with applicable internal and external requirements (e.g. financial controls, segregation of duties, transaction approvals and physical control of assets)
• Lead relationships with business lines / corporate and/or control functions to promote alignment with enterprise and/or regulatory requirements
• Lead or contribute to cross-functional / enterprise initiatives as an organizational or subject matter expert helping to identify risk / provide guidance for complex situations
• Protect the interests of the organization – identify and manage risks, and elevate non-standard, high risk transactions / activities as necessary
• Manage oversight process, risk-based identification and monitoring of related risks and regulatory compliance across the supported functions, while ensuring key controls and processes are effectively managed
• Oversee or lead the facilitation and/or implementation of action / remediation plans to address performance / risk / governance issues
• Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts
• Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite

• Responsible for management of the overall team providing both leadership and guidance
• Contribute to the development of Compliance functional strategic priorities within their operational area or field of specialty
• Develops annual and/or long term plans for own area and influences plans well beyond area managed
• Provide thought leadership and/ or industry knowledge for own area of expertise in own area and participate in knowledge transfer within the team and business unit
• Grow team expertise to align with Compliance /enterprise demand and direction; assess team skills and capabilities and continually look for ways to provide and enhance the value delivered
• Create and foster a cohesive team, and promote a positive work environment. Lead and follow up on action plans to improve employee experience
• Lead the process of setting performance objectives for the team; track, monitor and effectively address and/or reward performance in a timely manner
• Manage employees in compliance with all human resources policies, procedures and guidelines of conduct
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