Manager, compliance quality assurance (2111, 2112)

Lieu de travail :

Toronto, Ontario, Canada

Horaire :

37.5

Secteur d’activité :

Audit

Détails de la rémunération :

$91,200 - $136,800 CAD

Description du poste :

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/Quality 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.
• Perform 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.
• Document Quality Assurance/Quality Control issues and enhancement opportunities in a manner which clearly articulates underlying risk and urgency of required resolution.
• Support Senior Manager, Quality Assurance/Quality Control quarterly reporting requirements and updates to key 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).
• 5+ 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 considered an 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.

À propos de nous

La TD est un chef de file mondial dans le secteur des institutions financières. Elle représente la cinquième banque en Amérique du Nord de par son nombre de succursales. Chaque jour, nous offrons une expérience client légendaire à plus de 27 millions de ménages et d’entreprises au Canada, aux États-Unis et partout dans le monde. Plus de 95 000 collègues de la TD mettent en commun leurs compétences, leur talent et leur créativité au service de la Banque, des clients qu’elle sert et des économies qu’elle appuie.

Notre programme de rémunération globale
Notre programme de rémunération globale reflète les investissements que nous faisons pour aider nos collègues et leur famille à atteindre leurs objectifs en matière de bien-être mental, physique et financier.

Renseignements supplémentaires :

Nous sommes ravis que vous envisagiez une carrière à la TD. Sachez que nous avons à cœur d’aider nos collègues à réussir dans leur vie tant personnelle que professionnelle.

Mesures d’adaptation
L’accessibilité est importante pour nous. N’hésitez pas à nous faire part de toute mesure d’adaptation (salles de réunion accessibles, sous-titres pour les entrevues virtuelles, etc.) dont vous pourriez avoir besoin pour participer sans entraves au processus d’entrevue.

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