Governance & Control Specialist (Us)

2 weeks ago

Mount Laurel, United States TD Bank Full time

**Work Location**:
Mount Laurel, New Jersey

**Hours**:
40

**Pay Details**:
86,840.00 - 139,360.00 USD

**Line of Business**:
Governance & Control

The Governance & Control Specialist manages a portfolio of governance and control activities for moderately complex or high-risk business or functional area and implements policies/processes and/or initiatives to meet governance and control guidelines. Acts as a technical lead on key control initiatives.

This position will be a member of the AMCB (America's Most Convenient Bank) 1B first line Compliance Center of Excellence ("Compliance COE"). The Compliance COE is a team located within the AMCB (1B) and is responsible for the overall operational effectiveness and 1B oversight for compliance matters across all AMCB lines of business (LOBs). The Compliance COE is the first point of contact for all compliance related matters that need attention in the first line of defense (FLOD) and supports FLOD execution of compliance program requirements. The Compliance COE provides 1B oversight to all things compliance including regulatory compliance, anti-money laundering, privacy, conduct and fraud risk management.
- Significant experience with consumer banking laws, rules, and regulations is expected. Experience with a first line and/or second line compliance experience is desired and a CRCM or other relevant certification is a plus.
- The successful applicant will assist with first line regulatory change management activities and may provide 1B compliance support to any of the following groups: Consumer Product, Consumer Distribution, TD Auto Finance, Commercial Banking and Small Business Banking, and Shared Services.
- The successful applicant will have responsibilities relating to the first line implementation of regulatory compliance management program, including compliance related assessments and reporting.

**Depth & Scope**:

- Highly seasoned professional role requiring substantial business knowledge/expertise in a complex field and knowledge of broader related areas
- Integrates knowledge of the enterprise sub-function’s or business line’s overarching strategy in developing solutions across multiple functions or operations
- Ability to work collaboratively and build relationships across teams and functions
- Interprets internal/external business challenges and the industry environment, recommends course of action and best practices to improve products, processes or services
- Acts as a technical expert/lead integrating cross-function understanding within their own field of specialty; may manage team(s) of related specialists
- Leads cross-functional teams or projects with significant resource requirements, risk and/or complexity
- Independently manages end-to-end functional programs
- Solves or may lead others to solve complex problems; leads efforts or partners with others to develop new solutions
- Works autonomously as the lead and guides others within area of expertise

**Education & Experience**:

- Undergraduate degree preferred
- 7+ years of relevant experience
- Advanced business understanding and knowledge of risk and control functions
- Advanced knowledge of governance, risk and control procedures, strategies & tactics
- Knowledge of current and emerging competitor and market trends
- Ability to establish goals and objectives that support delivery execution for multiple teams
- Ability to contribute to the direction of the function and provide advice to the team and delivery leadership
- Ability to lead, plan, execute and evaluate project activities to ensure completion of initiatives
- Skill in mentoring, and performance management
- Skill in using analytical software tools, data analysis methods and reporting techniques
- Ability to communicate effectively in both oral and written form
- Ability to work collaboratively and build relationships across teams and functions
- Ability to work successfully as a member of a team and drive team execution
- Ability to exercise sound judgement in making decisions
- Ability to analyze, organize and prioritize work while meeting multiple deadlines

**Customer Accountabilities**:

- Contributes to the strategic direction of the business governance and control function and plays a key role in the development and implementation of risk strategies in support of the overall business strategy
- Develops and documents a comprehensive inventory of processes and controls with clearly-defined owners and roles and responsibilities for each process and control
- Participates in the intake of applicable regulation, assessment of impact to the business line, and the comprehensive mapping of associated controls to rules and regulations
- Reviews end-to-end processes and controls and connects the dots across issues and control deficiencies across various BUs in order to increase standardization of solutions, processes and controls
- Leads the integrated execution of policies/procedures/changes across multiple functional area

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