TD Bank
Sr. Manager - TPRO Compliance, Quality Control & Assurance
TD Bank, Mount Laurel, New Jersey, United States,
Work Location:
11325 North Community House Road, Suite 500 & 575Hours:
40Pay Details:
$110,760.00 - $178,880.00 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:
Gouvernance et ContrôlesJob Description:
Sr. Manager - TPRO Compliance, Quality Control & Assurance, oversees and leads a highly complex and diverse governance and control function for an area of significant risk, complexity or scope usually involving medium to long-term planning, ensuring an integrated approach with other business governance and control areas, the broader organization and enterprise control functions.Depth & Scope:Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as requiredOversees and leads a highly complex and diverse function for an area of significant risk, complexity or scope while growing talent, developing skills and capabilities to achieve career goals, support project/initiative success and achieve business resultsManages and oversees the overall discipline and strategy for the respective areas while aligning to the enterprise best practicesProvides coaching, mentorship and guidance to practitioners, business, executives within area of expertiseActs as a strategic partner to leadership team on the management of the function, with deep industry, external/internal, enterprise knowledge, recognizing and anticipating emerging trends and identifying operational efficiencies and opportunities with other business management/enterprise areasSets operational team direction and collaborates with others to execute on common goalsFocuses on longer-range planning for functional area (e.g. 12 months or greater)Education & Experience:Undergraduate degree preferred10+ years of relevant experienceDeep industry and business knowledge and expertise on risk and control functionsAdvanced knowledge of governance, risk and control procedures, strategies & tacticsAdvanced knowledge of risk management environment, standards, regulations and mitigationKnowledge of current and emerging trendsSkill in managing budgets and resource allocationSkill in mentoring, coaching and performance managementSkill in using analytical software tools, data analysis methods and reporting techniquesSkill in using computer applications including MS OfficeAdvanced ability to lead, plan, implement and evaluate program/project activities to ensure completionAbility to communicate effectively in both oral and written formAbility to work collaboratively and build relationships across teams and functionsAbility to work successfully as a member of a team and independentlyAbility to exercise sound judgement in making decisionsAbility to analyze, organize and prioritize work while meeting multiple deadlinesAbility to process and handle confidential information with discretionAbility to establish goals and objectives that support the strategic planAbility to contribute to strategic direction of the strategic initiatives and projectsPreferred QualificationsLead small team of QC and QA professionals to which perform testing of adherence to the Third Party Risk Management Policy, Standards and Processes to mitigate risk.Drive strategic and tactical changes to QC and QA Program within the TPROCustomer Accountabilities:Develops, communicates and implements a holistic governance and control strategy for own specific business function in support of and integrated with the overall business strategyManages and plans activities that require alignment across multiple areasLeads the implementation of regulatory change management and provides guidance to the team in the development and/or integrated implementation of policies/procedures/changes across multiple business/functional areasLeads partnership with management and respective teams for area of specialization with industry, enterprise, and business awareness; recognizing and anticipating emerging trends and identifying issues and opportunities and recommending actions to senior managementEnsures all administration, control and compliance activities are complete and accurate to meet targets for own areaEnsures an integrated and aggregated view of all related business risk and control activities across the overall function providing escalations, recommendations, and decision support to leadershipForecasts programs/initiatives and demand, and coordinates prioritization of the portfolio/initiatives with key stakeholdersProvides functional/business level communications to ensure messages to stakeholders and/or employees are consistent, appropriate and aligned to business risk strategies and executive management directionProvides direction to complex, wide-ranging enterprise or cross-function/business projects as a SME and participates in designing, testing, and implementation of solutionsShareholder Accountabilities:Works closely with senior management to develop business plan, ensuring the optimal use of resources and leverages TD’s operating model to maximize efficiency, effectiveness and scaleLeads interface and relationships with corporate and/or control functions to ensure alignment with enterprise and/or regulatory requirementsAssesses/identifies key issues and escalates to appropriate levels and relevant stakeholders and business management where requiredIdentifies, mitigates and reports on risk issues per enterprise policy/guidance and ensures appropriate escalation processes are followedEnsures business operations are in compliance with applicable requirements (e.g. financial controls, segregation of duties, transaction approvals and physical control of assets)Leads or contributes to cross-functional/enterprise initiatives as a SME helping to identify risk/provide guidance for complex situationsManages oversight process, risk-based identification and monitoring of related risks and regulatory compliance across the supported functions, while ensuring key controls and processes are effectively managedOversees or leads the facilitation and/or implementation of action/remediation plans to address performance/risk/governance issuesProtects the interests of the organization – identifies and manages risks, and escalates non-standard, high-risk transactions/activities as necessaryMaintains a culture of risk management and control, supported by effective processes in alignment with risk appetiteEmployee/Team Accountabilities:Responsible for management of the overall team providing both leadership, guidance, and expertise; ensures team adheres to enterprise frameworks and methodologiesSupports team in staying knowledgeable on emerging issues, trends and evolving regulatory requirements and assesses potential impacts to the BankLeads a high-performing team; provides ongoing feedback and performance reviews, coaches and develops employees and ensures performance management activities are undertaken and completed for all employeesLeads the process of setting performance objectives for the team; tracks, monitors and effectively addresses and/or rewards performance in a timely mannerManages employees in compliance with all human resources policies, procedures and guidelines of conductSupports an environment where team freely escalates business challenges; facilitates change through positive reinforcement of milestones and successesRecruits for all hires to ensure a highly diverse, qualified workforce to achieve business objectivesEstablishes and fosters a cohesive team; promotes a fair and equitable environment that supports a diverse workforce and encourages the team to achieve common goals and objectivesActs as a brand ambassador for your business area/function and the BankThe above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.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.Our Total Rewards PackageOur 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 base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition.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 DevelopmentIf 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 & OnboardingWe will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.Interview ProcessWe’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.AccommodationIf 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. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.À la TD, nous avons pour objectif d’enrichir la vie de nos clients, de nos collectivités et de nos collègues, et nous avons en commun un ensemble de valeurs qui façonnent notre culture et guident nos comportements. En échange de l’engagement quotidien de nos collègues à aider la TD à réussir, nous nous engageons à leur offrir une expérience de travail qui repose sur l’impact, la croissance et la culture de bienveillance.Notre engagement à l’égard de la diversité, de l’équité et de l’inclusionÀ la TD, nous nous engageons à créer un milieu où les collègues peuvent être eux-mêmes au travail, avoir des possibilités équitables et se sentir respectés et soutenus. Nous avons à cœur de réunir un effectif inclusif qui reflète la diversité de notre clientèle et des collectivités où nous vivons et que nous servons.Aider à changer les choses dans nos collectivités – La promesse TD Prêts à agirÀ la TD, nous avons un engagement de longue date à bâtir un avenir plus inclusif et durable. C’est la raison pour laquelle nous avons lancé en 2018 La promesse TD Prêts à agir, qui est maintenant un projet nord-américain pluriannuel. Dans le cadre de La promesse TD Prêts à agir, nous visons un total de un milliard de dollars de dons aux collectivités d’ici 2030 dans quatre vecteurs clés de changement interreliés : Sécurité financière, Planète dynamique, Collectivités inclusives et Meilleure santé. Notre objectif est de soutenir le changement, de favoriser le progrès et de créer un monde meilleur et plus inclusif pour nos clients, nos collègues et nos collectivités.
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11325 North Community House Road, Suite 500 & 575Hours:
40Pay Details:
$110,760.00 - $178,880.00 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:
Gouvernance et ContrôlesJob Description:
Sr. Manager - TPRO Compliance, Quality Control & Assurance, oversees and leads a highly complex and diverse governance and control function for an area of significant risk, complexity or scope usually involving medium to long-term planning, ensuring an integrated approach with other business governance and control areas, the broader organization and enterprise control functions.Depth & Scope:Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as requiredOversees and leads a highly complex and diverse function for an area of significant risk, complexity or scope while growing talent, developing skills and capabilities to achieve career goals, support project/initiative success and achieve business resultsManages and oversees the overall discipline and strategy for the respective areas while aligning to the enterprise best practicesProvides coaching, mentorship and guidance to practitioners, business, executives within area of expertiseActs as a strategic partner to leadership team on the management of the function, with deep industry, external/internal, enterprise knowledge, recognizing and anticipating emerging trends and identifying operational efficiencies and opportunities with other business management/enterprise areasSets operational team direction and collaborates with others to execute on common goalsFocuses on longer-range planning for functional area (e.g. 12 months or greater)Education & Experience:Undergraduate degree preferred10+ years of relevant experienceDeep industry and business knowledge and expertise on risk and control functionsAdvanced knowledge of governance, risk and control procedures, strategies & tacticsAdvanced knowledge of risk management environment, standards, regulations and mitigationKnowledge of current and emerging trendsSkill in managing budgets and resource allocationSkill in mentoring, coaching and performance managementSkill in using analytical software tools, data analysis methods and reporting techniquesSkill in using computer applications including MS OfficeAdvanced ability to lead, plan, implement and evaluate program/project activities to ensure completionAbility to communicate effectively in both oral and written formAbility to work collaboratively and build relationships across teams and functionsAbility to work successfully as a member of a team and independentlyAbility to exercise sound judgement in making decisionsAbility to analyze, organize and prioritize work while meeting multiple deadlinesAbility to process and handle confidential information with discretionAbility to establish goals and objectives that support the strategic planAbility to contribute to strategic direction of the strategic initiatives and projectsPreferred QualificationsLead small team of QC and QA professionals to which perform testing of adherence to the Third Party Risk Management Policy, Standards and Processes to mitigate risk.Drive strategic and tactical changes to QC and QA Program within the TPROCustomer Accountabilities:Develops, communicates and implements a holistic governance and control strategy for own specific business function in support of and integrated with the overall business strategyManages and plans activities that require alignment across multiple areasLeads the implementation of regulatory change management and provides guidance to the team in the development and/or integrated implementation of policies/procedures/changes across multiple business/functional areasLeads partnership with management and respective teams for area of specialization with industry, enterprise, and business awareness; recognizing and anticipating emerging trends and identifying issues and opportunities and recommending actions to senior managementEnsures all administration, control and compliance activities are complete and accurate to meet targets for own areaEnsures an integrated and aggregated view of all related business risk and control activities across the overall function providing escalations, recommendations, and decision support to leadershipForecasts programs/initiatives and demand, and coordinates prioritization of the portfolio/initiatives with key stakeholdersProvides functional/business level communications to ensure messages to stakeholders and/or employees are consistent, appropriate and aligned to business risk strategies and executive management directionProvides direction to complex, wide-ranging enterprise or cross-function/business projects as a SME and participates in designing, testing, and implementation of solutionsShareholder Accountabilities:Works closely with senior management to develop business plan, ensuring the optimal use of resources and leverages TD’s operating model to maximize efficiency, effectiveness and scaleLeads interface and relationships with corporate and/or control functions to ensure alignment with enterprise and/or regulatory requirementsAssesses/identifies key issues and escalates to appropriate levels and relevant stakeholders and business management where requiredIdentifies, mitigates and reports on risk issues per enterprise policy/guidance and ensures appropriate escalation processes are followedEnsures business operations are in compliance with applicable requirements (e.g. financial controls, segregation of duties, transaction approvals and physical control of assets)Leads or contributes to cross-functional/enterprise initiatives as a SME helping to identify risk/provide guidance for complex situationsManages oversight process, risk-based identification and monitoring of related risks and regulatory compliance across the supported functions, while ensuring key controls and processes are effectively managedOversees or leads the facilitation and/or implementation of action/remediation plans to address performance/risk/governance issuesProtects the interests of the organization – identifies and manages risks, and escalates non-standard, high-risk transactions/activities as necessaryMaintains a culture of risk management and control, supported by effective processes in alignment with risk appetiteEmployee/Team Accountabilities:Responsible for management of the overall team providing both leadership, guidance, and expertise; ensures team adheres to enterprise frameworks and methodologiesSupports team in staying knowledgeable on emerging issues, trends and evolving regulatory requirements and assesses potential impacts to the BankLeads a high-performing team; provides ongoing feedback and performance reviews, coaches and develops employees and ensures performance management activities are undertaken and completed for all employeesLeads the process of setting performance objectives for the team; tracks, monitors and effectively addresses and/or rewards performance in a timely mannerManages employees in compliance with all human resources policies, procedures and guidelines of conductSupports an environment where team freely escalates business challenges; facilitates change through positive reinforcement of milestones and successesRecruits for all hires to ensure a highly diverse, qualified workforce to achieve business objectivesEstablishes and fosters a cohesive team; promotes a fair and equitable environment that supports a diverse workforce and encourages the team to achieve common goals and objectivesActs as a brand ambassador for your business area/function and the BankThe above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.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.Our Total Rewards PackageOur 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 base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition.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 DevelopmentIf 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 & OnboardingWe will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.Interview ProcessWe’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.AccommodationIf 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. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.À la TD, nous avons pour objectif d’enrichir la vie de nos clients, de nos collectivités et de nos collègues, et nous avons en commun un ensemble de valeurs qui façonnent notre culture et guident nos comportements. En échange de l’engagement quotidien de nos collègues à aider la TD à réussir, nous nous engageons à leur offrir une expérience de travail qui repose sur l’impact, la croissance et la culture de bienveillance.Notre engagement à l’égard de la diversité, de l’équité et de l’inclusionÀ la TD, nous nous engageons à créer un milieu où les collègues peuvent être eux-mêmes au travail, avoir des possibilités équitables et se sentir respectés et soutenus. Nous avons à cœur de réunir un effectif inclusif qui reflète la diversité de notre clientèle et des collectivités où nous vivons et que nous servons.Aider à changer les choses dans nos collectivités – La promesse TD Prêts à agirÀ la TD, nous avons un engagement de longue date à bâtir un avenir plus inclusif et durable. C’est la raison pour laquelle nous avons lancé en 2018 La promesse TD Prêts à agir, qui est maintenant un projet nord-américain pluriannuel. Dans le cadre de La promesse TD Prêts à agir, nous visons un total de un milliard de dollars de dons aux collectivités d’ici 2030 dans quatre vecteurs clés de changement interreliés : Sécurité financière, Planète dynamique, Collectivités inclusives et Meilleure santé. Notre objectif est de soutenir le changement, de favoriser le progrès et de créer un monde meilleur et plus inclusif pour nos clients, nos collègues et nos collectivités.
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