Governance & Control Lead, Regulator Compliance
Description
Reporting to the Manager, Business Banking G&C, the Manager I, Governance & Control will provide support for AML /Regulatory Compliance Management as an SME and manage/conduct ongoing quality testing for key controls.
In addition, the Manager I, Governance & Control 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. CIA, CPA, ACAMS 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 strive to make every interaction, product, and experience remarkably human and refreshingly simple for 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 foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience.
TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities.
Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical, and mental well-being goals. Total Rewards at TD includes a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs.
Additional Information:
We’re delighted that you’re…
To Search, View & Apply for jobs on this site that accept applications from your location or country, tap here to make a Search: