TD Bank
Regulatory, Audit and Issues Management Manager
TD Bank, Mount Laurel, New Jersey, United States,
Work Location:
États-Unis d'AmériqueHours:
40Pay Details:
$86,840.00 - $139,360.00 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. As TD puts career development at the forefront of our colleague experience, it is not typical for an individual to be hired at or near the top of the range for their role.As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.Line of Business:
Gouvernance et ContrôlesJob Description:
The Governance & Control Specialist manages a portfolio of governance and control activities for moderately complex or high-risk business or functional area and implements policies/processes and/or initiatives to meet governance and control guidelines. Acts as a technical lead on key control initiatives.Depth & Scope:Highly seasoned professional role requiring substantial business knowledge/expertise in a complex field and knowledge of broader related areasIntegrates knowledge of the enterprise sub-function’s or business line’s overarching strategy in developing solutions across multiple functions or operationsAbility to work collaboratively and build relationships across teams and functionsInterprets internal/external business challenges and the industry environment, recommends course of action and best practices to improve products, processes or servicesActs as a technical expert/lead integrating cross-function understanding within their own field of specialty; may manage team(s) of related specialistsLeads cross-functional teams or projects with significant resource requirements, risk and/or complexityIndependently manages end-to-end functional programsSolves or may lead others to solve complex problems; leads efforts or partners with others to develop new solutionsWorks autonomously as the lead and guides others within area of expertiseEducation & Experience:Undergraduate degree preferred7+ years of relevant experienceAdvanced business understanding and knowledge of risk and control functionsAdvanced knowledge of governance, risk and control procedures, strategies & tacticsKnowledge of current and emerging competitor and market trendsAbility to establish goals and objectives that support delivery execution for multiple teamsAbility to contribute to the direction of the function and provide advice to the team and delivery leadershipAbility to lead, plan, execute and evaluate project activities to ensure completion of initiativesSkill in mentoring, and performance managementSkill in using analytical software tools, data analysis methods and reporting techniquesSkill in using computer applications including MS Office and industry standardsAbility 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 drive team executionAbility to exercise sound judgement in making decisionsAbility to analyze, organize and prioritize work while meeting multiple deadlinesCustomer Accountabilities:Contributes to the strategic direction of the business governance and control function and plays a key role in the development and implementation of risk strategies in support of the overall business strategyDevelops and documents a comprehensive inventory of processes and controls with clearly-defined owners and roles and responsibilities for each process and controlParticipates in the intake of applicable regulation, assessment of impact to the business line, and the comprehensive mapping of associated controls to rules and regulationsReviews end-to-end processes and controls and connects the dots across issues and control deficiencies across various BUs in order to increase standardization of solutions, processes and controlsLeads the integrated execution of policies/procedures/changes across multiple functional areasProvides direction to complex, wide-ranging enterprise or cross-function/business projects as a SME, identifies risk/provides guidance for complex situations and participates in designing, testing, and implementation of solutionsActs as lead for area of specialization with industry, enterprise, and business awareness; recognizing and anticipating emerging trends and identifying issues and opportunities and recommending action to senior management in the governance and control spaceShareholder Accountabilities:Ensures programs/policies/practices are well-managed, meet business needs/priorities, and comply with internal/external requirementsExercises discretion in managing communication/correspondence, information and all matters of confidentialityLeads research projects; supports the development/delivery of materials and presentations to management or broader audienceConducts analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess the effectiveness of programs, policies, or practicesAdheres to enterprise frameworks or methodologies that relate to activities across businesses and functionsManages relationships within and across various business lines, corporate and/or control functions and ensures alignment with enterprise and/or regulatory requirementsProtects 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 processes in alignment with risk appetiteIs knowledgeable of and complies with Bank Code of ConductEmployee/Team Accountabilities:Participates as a member of the team, supports a positive work environment and ensures timely communicationProvides leadership as a SME and participates in knowledge transfer within the team/business unitKeeps current on emerging trends/developments and grows knowledge of the business, related tools and techniquesKeeps others informed about the status/progress of projectsContributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practicesContributes to a fair, positive and equitable environmentActs as a brand ambassador for your business area/function and the BankPreferred Qualifications:Lead review and coordination of exam management activities (i.e., second line, Audit and regulatory exams)Responsible for managing remediation of findings, issues and observationsPartner with forward-deployed Business Segment Relationship Management leads, VMOs and other TPRO COEsThe 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.
#J-18808-Ljbffr
États-Unis d'AmériqueHours:
40Pay Details:
$86,840.00 - $139,360.00 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. As TD puts career development at the forefront of our colleague experience, it is not typical for an individual to be hired at or near the top of the range for their role.As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.Line of Business:
Gouvernance et ContrôlesJob Description:
The Governance & Control Specialist manages a portfolio of governance and control activities for moderately complex or high-risk business or functional area and implements policies/processes and/or initiatives to meet governance and control guidelines. Acts as a technical lead on key control initiatives.Depth & Scope:Highly seasoned professional role requiring substantial business knowledge/expertise in a complex field and knowledge of broader related areasIntegrates knowledge of the enterprise sub-function’s or business line’s overarching strategy in developing solutions across multiple functions or operationsAbility to work collaboratively and build relationships across teams and functionsInterprets internal/external business challenges and the industry environment, recommends course of action and best practices to improve products, processes or servicesActs as a technical expert/lead integrating cross-function understanding within their own field of specialty; may manage team(s) of related specialistsLeads cross-functional teams or projects with significant resource requirements, risk and/or complexityIndependently manages end-to-end functional programsSolves or may lead others to solve complex problems; leads efforts or partners with others to develop new solutionsWorks autonomously as the lead and guides others within area of expertiseEducation & Experience:Undergraduate degree preferred7+ years of relevant experienceAdvanced business understanding and knowledge of risk and control functionsAdvanced knowledge of governance, risk and control procedures, strategies & tacticsKnowledge of current and emerging competitor and market trendsAbility to establish goals and objectives that support delivery execution for multiple teamsAbility to contribute to the direction of the function and provide advice to the team and delivery leadershipAbility to lead, plan, execute and evaluate project activities to ensure completion of initiativesSkill in mentoring, and performance managementSkill in using analytical software tools, data analysis methods and reporting techniquesSkill in using computer applications including MS Office and industry standardsAbility 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 drive team executionAbility to exercise sound judgement in making decisionsAbility to analyze, organize and prioritize work while meeting multiple deadlinesCustomer Accountabilities:Contributes to the strategic direction of the business governance and control function and plays a key role in the development and implementation of risk strategies in support of the overall business strategyDevelops and documents a comprehensive inventory of processes and controls with clearly-defined owners and roles and responsibilities for each process and controlParticipates in the intake of applicable regulation, assessment of impact to the business line, and the comprehensive mapping of associated controls to rules and regulationsReviews end-to-end processes and controls and connects the dots across issues and control deficiencies across various BUs in order to increase standardization of solutions, processes and controlsLeads the integrated execution of policies/procedures/changes across multiple functional areasProvides direction to complex, wide-ranging enterprise or cross-function/business projects as a SME, identifies risk/provides guidance for complex situations and participates in designing, testing, and implementation of solutionsActs as lead for area of specialization with industry, enterprise, and business awareness; recognizing and anticipating emerging trends and identifying issues and opportunities and recommending action to senior management in the governance and control spaceShareholder Accountabilities:Ensures programs/policies/practices are well-managed, meet business needs/priorities, and comply with internal/external requirementsExercises discretion in managing communication/correspondence, information and all matters of confidentialityLeads research projects; supports the development/delivery of materials and presentations to management or broader audienceConducts analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess the effectiveness of programs, policies, or practicesAdheres to enterprise frameworks or methodologies that relate to activities across businesses and functionsManages relationships within and across various business lines, corporate and/or control functions and ensures alignment with enterprise and/or regulatory requirementsProtects 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 processes in alignment with risk appetiteIs knowledgeable of and complies with Bank Code of ConductEmployee/Team Accountabilities:Participates as a member of the team, supports a positive work environment and ensures timely communicationProvides leadership as a SME and participates in knowledge transfer within the team/business unitKeeps current on emerging trends/developments and grows knowledge of the business, related tools and techniquesKeeps others informed about the status/progress of projectsContributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practicesContributes to a fair, positive and equitable environmentActs as a brand ambassador for your business area/function and the BankPreferred Qualifications:Lead review and coordination of exam management activities (i.e., second line, Audit and regulatory exams)Responsible for managing remediation of findings, issues and observationsPartner with forward-deployed Business Segment Relationship Management leads, VMOs and other TPRO COEsThe 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.
#J-18808-Ljbffr