Head of Compliance Quality Assurance

7 days ago

Charlotte, North Carolina, United States TD Bank Full time
Job Title: Head of Compliance Quality Assurance

TD Bank is seeking a highly skilled and experienced professional to lead our Compliance Quality Assurance team. As the Head of Compliance Quality Assurance, you will be responsible for providing strategic leadership and direction to ensure the effective implementation of our compliance risk management program.

Key Responsibilities:
  • Develop and implement the target operating model for Compliance quality assurance capability with a focus on optimizing controls, streamlining and standardizing quality assurance testing execution and improving quality assurance testing effectiveness and efficiency.
  • Provide independent quality assurance oversight of remediations within the second line Compliance function.
  • Through quality assurance testing, ensure compliance reports are accurate and tie to gold source information.
  • Drive internal Compliance expertise of root cause analysis.
  • Develop and maintain constructive relationships between the Senior Management across TD and the Senior Compliance Leaders to build and maintain trust in TD by our regulators and our business partners.
Requirements:
  • Bachelor's degree required.
  • 10+ years related experience required.
  • In-depth knowledge of financial services, regulatory industry practices.
  • Strong management experience leading regulatory compliance activities.
  • Regulatory, industry and operational knowledge with respect to testing and monitoring.
  • Ability to operationally manage a complex team that has a wide variety of skill sets.
  • Strong Control/Risk Management mindset.
  • Negotiation skills and forward looking with an ability to drive and implement change and solve problems.
About TD Bank:

TD Bank 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.

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 base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition.

Accommodation:

If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

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