Regulatory, Audit and Issues Management Manager

Description

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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.

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

Skill in using computer applications including MS Office and industry standards

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 areas

Provides direction to complex, wide-ranging enterprise or cross-function/business projects as a SME, identifies risk/provides guidance for complex situations and participates in designing, testing, and implementation of solutions

Acts as lead for area of specialization with industry, enterprise, and business awareness; recognizing and anticipating emerging trends and; identifying issues and opportunities and recommending action to senior management in the governance and control space

Shareholder Accountabilities:

Ensures programs/policies/practices are well-managed, meet business needs/priorities, and comply with internal/external requirements

Exercises discretion in managing communication/correspondence, information and all matters of confidentiality

Leads research projects; supports the development/delivery of materials and presentations to management or broader audience

Conducts analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess the effectiveness of programs, policies, or practices

Adheres to enterprise frameworks or methodologies that relate to activities across businesses and functions

Manages relationships within and across various business lines, corporate and/or control functions and ensures alignment with enterprise and/or regulatory requirements

Protects the interests of the organization – identifies and manages risks, and escalates non-standard, high-risk transactions/activities as necessary

Maintains a culture of risk management and control, supported by processes in alignment with risk appetite

Is knowledgeable of and complies with Bank Code of Conduct

Employee/Team Accountabilities:

Participates as a member of the team, supports a positive work environment and ensures timely communication

Provides leadership as a SME and participates in knowledge transfer within the team/business unit

Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques

Keeps others informed about the status/progress of projects

Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices

Contributes to a fair, positive and equitable environment

Acts as a brand ambassador for your business area/function and the Bank

Preferred Qualifications:

Lead review and coordination of exam management activities (i.e., second line, Audit and regulatory exams)

Responsible for managing remediation of findings, issues and observations 

Partner with forward-deployed Business Segment Relationship Management leads, VMOs and other TPRO COEs

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

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.

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 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.

Additional Information:
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development
If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

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 . 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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