Description
Reporting to the Manager, Business Banking G&C, the Governance & Control Lead - Regulatory Compliance, Business Banking will provide support for AML /Regulatory Compliance Management as an SME and manage/conduct ongoing quality testing for key controls.
In addition, the Governance & Control Lead - Regulatory Compliance, Business Banking will:
Manage and assist on a set of business governance and control programs requiring coordination across multiple areas and business stakeholders in support of the overall business strategy and execute governance and control activities in accordance with established standards.
Lead the periodic refresh of AML/RCM controls.
Manage the intake & assessment of risk incidents / potential issues from AML/regulatory impact standpoint. Incident tracking and managing the Issues lifecycle by coordinating with various stakeholders to ensure timely escalation/reporting, remediation, and closure of these issues.
Provide subject matter expertise on Business Banking Regulatory Compliance/AML.
Execute governance and control testing activities in accordance with established standards and testing programs.
Provide specialized business governance and control related advice/support to management / leadership and respective teams for area(s) of specialization
Interprets guidelines, standards, policies, and results of analysis to inform decision making at senior levels.
Review processes and controls and “connect the dots” across issues and control deficiencies to increase standardization of solutions, processes and controls
Exercise discretion in managing correspondence, information, and all matters of confidentiality.
Keep management informed about the status / progress of testing and completion of testing within assigned timeframes
Foster a positive work environment and contribute to the success of the team by willingly assisting others in the completion and performance of work activities; provide training, coaching and/or guidance as appropriate.
Job Requirements
Minimum 7+ years related experience
Previous Audit, AML, Regulatory Compliance Testing or 1st Line Controls Testing experience with in-depth knowledge of business processes within Banking industry is considered asset
Detail oriented and strong analytical skills, with experience in collecting and organizing information
Strong written and verbal communication skills
Ability to exercise sound judgement in making decisions
Ability to work independently and collaboratively to build relationships across teams and functions
Proficient knowledge of governance, risk and control procedures, strategies & tactics
Effective time management, multi-tasking and organizational skills to meet tight timelines and adapt to changing priorities.
Skill in using MS Office, with advanced proficiency in using Microsoft Excel
A business or finance degree is an asset
Certification(s) relating to Risk or Audit e.g. CRM, CISA, CIA, CPA is an asset
Who We Are:
TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support.
We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.
TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential.
Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals. As an organization, we keep growing – and so will you.
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