Compliance Governance - Toronto, Canada - TD Bank

TD Bank
TD Bank
Verified Company
Toronto, Canada

3 weeks ago

Sophia Lee

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Sophia Lee

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Description

TD Description
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CUSTOMER

  • Provide Compliance research, evaluation, operational, reporting and/or analytical support in oversight and control function to internal (Compliance) partners, in a timely manner
  • Coordinate requests to and from, business (Compliance) partners and coordinate tracking and reporting of Compliance function initiatives and programs
  • Prepare summaries, communications, reports and presentations for management, regulators, and other internal and external stakeholders
  • Recommend responses to enterprise Compliance Program questions and immediately escalate any sensitive issues according to departmental procedures
  • Analyze data and draw conclusions to meet program health reporting requirements
  • Analyze emerging trends pertaining to regulatory changes, reporting or other departmental functions and provide recommendations to enhance or rectify Compliance related gaps, issues and enhancements
  • Proactively identify matters requiring additional review, escalation, and liaise with appropriate staff to resolve, as appropriate

SHAREHOLDER

  • Contribute to various activities and processes as assigned
  • Adhere to enterprise frameworks or methodologies that relate to activities for own business area
  • Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; escalate issues where appropriate
  • Be knowledgeable of practices and procedures within own area of responsibility and keep abreast of emerging trends for own functional area
  • Protect the interests of the organization identify and manage risks, and escalate nonstandard, high risk activities as necessary
  • Conduct internal and external research projects; support the development / delivery of presentations / communications to management or broader audience
  • Conduct reporting and / or meaningful analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess the effectiveness of programs/ policies/ practices
  • Monitor service, productivity and assess efficiency levels within own function and implement continuous process / performance improvements where opportunities exists
  • Identify, recommend and effectively execute standard practices applicable to the discipline
  • Adhere to internal policies/procedures and applicable regulatory guidelines
  • Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts
  • Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite
EMPLOYEE / TEAM

  • Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues/ points of interest
  • Support the team by continuously enhancing knowledge / expertise in own area and participate in knowledge transfer within the team and business unit
  • Keep current on emerging trends/ developments and grow knowledge of the business, related tools and techniques
  • Participate in personal performance management and development activities, including cross training within own team
  • Keep others informed and uptodate about the status / progress of projects and / or all relevant or useful information related to daytoday activities
  • Contribute to the success of the team by willingly assisting others in the completion and performance of work activities; provide training, coaching and/or guidance as appropriate.
  • Contribute to a fair, positive and equitable environment that supports a diverse workforce
  • Act as a brand ambassador for your business area/function and the bank, both internally and/or externally

Job Requirements
BREADTH & DEPTH

  • Provide specialized analysis, nonstandard reporting, and operational support to Compliance
  • Require a comprehensive understanding of a range of product and services, processes, procedures, systems and concepts within their own and related areas of specialty
  • Recommend problem resolution for issues that have been escalated, and/or escalate to appropriate level where further clarity or interpretation is required
  • Complete work within specifically defined parameters with guidance / direction from management as necessary
  • Require solid knowledge of the Compliance function and interaction points with other related areas as well as regulatory issues/ requirements for jurisdictions supported
  • Generally reports to a Manager/Senior Manager Compliance
EXPERIENCE & EDUCATION

  • Undergraduate degree preferred
  • Relevant professional designations and/or certifications as required
  • 2+ years relevant experience

Inclusiveness


At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported.

We are dedicated to building a workforce that reflects the diver
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