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Compliance and Quality Assurance Leader

2 months ago

New York, New York, United States TD Bank Full time
Job Description:

Job Title: Compliance and Quality Assurance Leader

Job Summary:

We are seeking a highly skilled Compliance and Quality Assurance Leader to join our team at TD Bank. As a key member of our Compliance Department, you will be responsible for overseeing regulatory compliance across the organization, developing and maintaining compliance programs, and providing guidance and support to our teams.

Key Responsibilities:

  • Oversee and lead the teams responsible for Compliance Units Quality Monitoring (QM) and Quality Assurance Review (QAR) programs for Global Compliance.
  • Develop and execute the Quality Monitoring and QAR annual plan, as well as evolving the QAR strategy to align with regulatory expectations and industry best practices.
  • Evolves and enhances the QM and QAR subject matter expertise, program, and processes.
  • Plans and leads quality assurance activities that require understanding across multiple areas of the Compliance function.
  • Acts as a subject matter expert on the Regulatory Compliance Management Framework and supporting Standards.
  • Reports the results of the QM and QAR activities to key stakeholders.
  • Provide leadership to CSET members in delivering the Road to Strong Program for Global Compliance, leading QAR and Quality Monitoring workstreams as needed.
  • Lead / facilitate compliance engagement in governance programs, offering guidance, and contributing to the development of associated frameworks, policies, processes, and procedures.
  • Guides the team and participates in identification of issues and applicable recommendations to the Compliance teams.
  • Identifies key gaps in the execution of the RCM Framework and Standards and recommends possible methodology improvement and training opportunities.
  • Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required.
  • Develop and grow the compliance aspect of risk management programs, working in coordination with relevant teams.
  • Foster a culture receptive to innovation and change within the compliance team, promoting adaptability and forward-thinking.

Requirements:

  • University degree required: Post Graduate degree preferred
  • CPA, CA and/or CIA designation preferred
  • 10+ years of relevant industry and management experience
  • Familiarity with regulations and compliance strategies and risk management; possesses and demonstrates expertise in the advisory, policy, change management, project management and operations
  • Highest personal and professional integrity and standards to advance TD's vision and protect the brand
  • Strong verbal and written communication skills, including public speaking/presentation skills and well-developed listening and negotiation skills
  • Ability to work in a fast-paced environment and manage multiple priorities
  • People leadership and management experience focused on talent development and coaching to nurture a high-performing team
  • Ability to operate in an evolving, sometimes ambiguous, matrixed environment.
  • Strategic thinker; has excellent judgment, achieves the right risk/reward balance
  • Demonstrates ability delivering on objectives, focuses on what matters and can work across silos to build effective working relationships
  • Transparent communicator and respected TD representative, both internally and externally
  • Models TD's executive leadership profile: skilled leader, high confidence, low ego, inspiring to professionals, operates through influence, motivates and develops leadership teams
  • Advances TD's leadership development, colleague experience & diversity agenda
  • Possesses an advanced level of financial and strategic acumen to provide insight on strategy development and execute effectively on a broad range of key business management activities
  • Strong relationship building and negotiation skills and the ability to interact with sensitivity and leadership to advance and influence the culture Compliance aims to promote Demonstrates strong problem-solving & analytical skills, including the ability to comprehend a situation by breaking it down into its components and identifying underlying issues
  • Can manage a diverse group of professionals and mobilize teams against complex requirements
  • Expertise in working effectively in ambiguity with all levels of colleagues and executives to enhance the colleague experience
  • Exhibits confident presentation and facilitation skills and strong interpersonal and leadership skills to facilitate working with business and senior management at all levels