TD Bank
Compliance Audit & Exam Manager
TD Bank, Mount Laurel, New Jersey, United States,
Work Location:
États-Unis d'AmériqueHours:
40Pay Details:
$86,840 - $139,360 USDTD is committed to providing fair and equitable compensation opportunities to all colleagues. The included salary range for this role takes into account multiple factors that are considered in making compensation decisions. The base pay actually offered may vary based upon candidate's skills and experience, job-related knowledge, licensure and certifications, geographic location, and other specific business and organizational needs.Line of Business:
ConformitéJob Description:Department Overview:
U.S. Compliance Operations and Governance provides governance, oversight, and support for central elements of the U.S. Compliance Risk Management Program, including:Compliance-wide frameworks, guidelines and standards for testing, monitoring, risk assessment, reporting and other activitiesCentralized policy and reports inventoriesInternal Audit, regulatory exam, and ongoing supervision management, finding tracking, and remediation oversightStrategic, financial planning, business and operations support for the U.S. Compliance Department, the U.S. CCO and the Compliance Executive TeamThe Audit and Exam Management team of U.S. Compliance Operations and Governance manages internal audits and regulatory exams of the Compliance function, tracks remediation efforts and assists in remediation of Compliance-owned findings, coordinates ad hoc responses to regulatory agencies and Internal Audit, and prepares periodic reporting to multiple stakeholders.Responsibilities:Lead assigned audits and exams, run stakeholder meetings, review all audit and exam submissions and presentations, identify potential concerns, and escalate as necessary.Prepare regular stakeholder communication, provide input for periodic management reporting, and oversee action plan development and remediation processes for Compliance-owned findings.Assist in U.S. and Global Compliance projects as necessary.Education & Experience:Undergraduate degree or equivalent work experience7+ years of experiencePreferred Background & Experience:Certified Regulatory Compliance Manager or similar knowledge of consumer, commercial, and corporate U.S. bank regulationsKnowledge and experience within bank compliance or bank audit, legal and regulatory environment, enterprise governance framework, products and services, policies, standards, systems, reporting and training requirementsAbility to independently identify, assess, and escalate issues requiring senior management attentionExperience leading bank compliance-related projects with multiple stakeholders and strict deadlinesWho 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.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.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 USWAPTDO@td.com.
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États-Unis d'AmériqueHours:
40Pay Details:
$86,840 - $139,360 USDTD is committed to providing fair and equitable compensation opportunities to all colleagues. The included salary range for this role takes into account multiple factors that are considered in making compensation decisions. The base pay actually offered may vary based upon candidate's skills and experience, job-related knowledge, licensure and certifications, geographic location, and other specific business and organizational needs.Line of Business:
ConformitéJob Description:Department Overview:
U.S. Compliance Operations and Governance provides governance, oversight, and support for central elements of the U.S. Compliance Risk Management Program, including:Compliance-wide frameworks, guidelines and standards for testing, monitoring, risk assessment, reporting and other activitiesCentralized policy and reports inventoriesInternal Audit, regulatory exam, and ongoing supervision management, finding tracking, and remediation oversightStrategic, financial planning, business and operations support for the U.S. Compliance Department, the U.S. CCO and the Compliance Executive TeamThe Audit and Exam Management team of U.S. Compliance Operations and Governance manages internal audits and regulatory exams of the Compliance function, tracks remediation efforts and assists in remediation of Compliance-owned findings, coordinates ad hoc responses to regulatory agencies and Internal Audit, and prepares periodic reporting to multiple stakeholders.Responsibilities:Lead assigned audits and exams, run stakeholder meetings, review all audit and exam submissions and presentations, identify potential concerns, and escalate as necessary.Prepare regular stakeholder communication, provide input for periodic management reporting, and oversee action plan development and remediation processes for Compliance-owned findings.Assist in U.S. and Global Compliance projects as necessary.Education & Experience:Undergraduate degree or equivalent work experience7+ years of experiencePreferred Background & Experience:Certified Regulatory Compliance Manager or similar knowledge of consumer, commercial, and corporate U.S. bank regulationsKnowledge and experience within bank compliance or bank audit, legal and regulatory environment, enterprise governance framework, products and services, policies, standards, systems, reporting and training requirementsAbility to independently identify, assess, and escalate issues requiring senior management attentionExperience leading bank compliance-related projects with multiple stakeholders and strict deadlinesWho 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.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.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 USWAPTDO@td.com.
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