Job Description:

Department Overview

Our team of trusted Compliance professionals interact with every part of Compliance to provide strategic guidance and independent oversight. Through due diligence, and with a strong sense of integrity, we help mitigate potential risks to our business.

Safeguarding the reputation of Compliance's good governance depends on us.

We're counted on to provide recommendations to enhance operational performance, at every single level to foster meaningful process improvements and ensure adherence to internal and external regulations.

Job Description :

The Compliance Department Quality professionals are responsible for the execution of Quality Assurance/Control reviews to assess, Risk Owners and Oversight functions with established standards and procedures. The Senior Manager, Compliance Quality will execute Quality Assurance / Quality Control reviews and act as a subject matter expert in own area of expertise.

• Execute Quality Assurance /Quality Control reviews and provides feedback to Risk Owners & Oversight functions on compliance with standards and procedures.
• Evaluate the design and operating effectiveness of enterprise compliance controls
• Ensure working paper files are documented on time and according to established QAR documentation standards.
• Lead a team of Quality Assurance/Quality Control professionals, scheduling and managing performance. Reviewing working papers and ensure work deliverables are completed on time
• Performs tracking and follow-up of recommendations.
• Assist the Compliance Department in identifying and remediating opportunities identified.
• Act as Strategic Advisor to leadership team on areas for focus related to execution quality, assist with recognizing and anticipating emerging trends and; identifying operational efficiencies
• Ensure Quality Assurance/ Quality Control results are analyzed, key themes are highlighted, root causes are identified, and impact is assessed.
• Document Quality Assurance/ Quality Control issues and enhancement opportunities in a manner which clearly articulates underlying risk and urgency of required resolution.
• Conduct effective challenge of Compliance self-assessment activities and reports, as needed.
• Support AVP, Quality for quarterly compliance update to stakeholders
• Highly specialized compliance expert with in-depth knowledge to manage Quality Assurance/Quality Control testing for designated businesses/functional areas.

Job Requirements

• Undergraduate degree or relevant professional certifications, accounting designations, or equivalent education required (CPA/CIA a strong asset)
• 10+ years of relevant experience ( Global Compliance, Risk Management, Quality Assurance/Quality Control)
• Advanced knowledge of Quality Assurance/ Quality Control standards, procedures, laws, rules and regulations
• Advanced knowledge of risk management environment, standards, regulations and mitigation
• Relevant working experience at a Financial Regulatory agency (OSFI, FED, FCAC etc. would be a strong asset)
• Knowledge of current and emerging trends
• Skilled in mentoring, coaching and performance management
• Skilled in using computer applications including MS Office
• Advanced ability to lead, plan, implement and evaluate program/project activities to ensure completion of Quality Assurance/Quality Control activities
• 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 independently
• Ability to exercise sound judgement in making decisions
• Ability to analyze, organize and prioritize work while meeting multiple deadlines
• Ability to contribute to strategic direction of the compliance function and provide advice to senior leadership

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 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. Learn more

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.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

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
Your accessibility is important to us. Please let us know if you'd like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you!

Language Requirement (Quebec only):
Sans Objet