Compliance Governance & Operations Manager

TD Bank Group; London; On-site; GBP 40,000 - 60,000; Full time

Job description

Work Location:
London, United Kingdom

Hours:
35

Line of Business:
Compliance

Pay Details:
We're committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.

Job Description:
The mandate of the TD Compliance Department is to manage compliance risk across TD globally to align with the policies established and approved by the TD Board of Directors' Audit and Risk Committees. It is the Compliance Department's responsibility, as proactive and trusted advisors to Businesses, to drive a consistent, adaptable and effective culture across the organization so that compliance risks are appropriately mitigated. Compliance Department responsibilities generally are to advise, monitor, and escalate.

Job Description / Accountabilities:
The Compliance Governance & Operations Manager is an integral part of the TDS UK Compliance department. This individual will be responsible for core activities including Monitoring & Testing, Regulatory filings, participating in local and global initiatives and other core compliance tasks as needed.

Responsibilities include, but are not limited to:

1. Participate in the compliance risk assessment exercise.
2. Assist with developing the annual monitoring & testing plan;
3. Determine scope of reviews; build detailed review steps; organize documentary evidence of review;
4. Execute tests and write summary report to document exceptions and action plans;
5. Communicate deficiencies to the business.
6. Oversee remediation of gaps identified in the testing process;
7. Assist on ad-hoc Compliance projects and initiatives;
8. Build relationships with key stakeholders locally and globally.

Qualifications / Skills / Experience

1. Minimum of 3-5 years of demonstrated relevant experience in the industry.
2. Knowledgeable of regulations and industry best practices;
3. Have the ability to conduct regulatory research.
4. Understanding of internal controls framework.
5. Testing the design and effectiveness of business controls.
6. Understanding of regulatory rules.
7. Problem solving skills and the ability to work independently.
8. Prioritizing to manage tasks efficiently and timely.
9. Strong oral and written communication skills.
10. Ability to build and maintain professional relationships with internal and external parties.
11. Audit or Controls experience a plus.
12. Regulatory experience a plus.

Shared Commitments
Executives promote adherence to TDBG's vision and purpose to be the better bank, and enrich the lives of customers, communities and colleagues. As part of the general management of their function, Executives are accountable to deliver against TD's five shared commitments:

• Think like a customer; provide legendary experiences and trusted advice.
• Act like an owner; lead with integrity to drive business results and contribute to communities.
• Execute with speed and impact; only take risks we can understand and manage.
• Innovate with purpose; simplify the way we work.
• Develop our colleagues; embrace diversity and respect one another.

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 diversity of our customers and communities in which we live and serve.

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.

Our Total Rewards Package
Our Total Rewards package reflects the investment we make in our colleagues to help them, and their families achieve their well-being goals. Total Rewards at TD includes a base salary and several other key plans such as health and well-being benefits, including medical coverage, paid time off, career development, and reward and recognition programs.

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.

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 require an accommodation for the recruitment / interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.