Compliance Governance & Operations Manager

Manage the full life-cycle of compliance testing, from planning through to reporting, driving continuous improvement.,Develop the annual monitoring & testing plan; Determine scope of reviews; build detailed review steps; organize documentary evidence of review; Execute tests and write summary report to document exceptions and action plans.,Participate in the compliance risk assessment exercise.,Assist on ad-hoc Compliance projects and initiatives.,Build relationships with key stakeholders locally and globally.,Identify and report Operational Risk Events in accordance with policy.,Contribute positively to TDGF's reputation and the management of Reputational Risk.,Follow ethical practices, comply with policies, legislation, and regulations, and support positive interactions with stakeholders.,Observe proper standards of market conduct and comply with all regulatory requirements.,Report any violations or possible violations of regulatory requirements.,Comply with CBI's Fitness and Probity Regime (F&P) standards: Competent and capable; Act honestly, ethically and with integrity; Be financially sound.,Comply with CBI Conduct Standards: Acting with Honesty and Integrity; Acting with Due Care and Diligence; Co-operating in Good Faith and Without Delay; Acting in the Best Interests of Customers and Treating Them Fairly and Professionally; Operating in Compliance with Standards of Market Conduct and Trading Venue Rules.,Adhere to internal TD Policies, including the Code of Conduct and Ethics.,Act with integrity and due skill, care and diligence.,Keep management fully informed of Regulatory and Compliance issues.,Deal with TD Management, Compliance, regulators, and control functions in an open and cooperative way, disclosing appropriate information.

Minimum of 5 years of demonstrated relevant experience in the industry.,Experience of testing and monitoring the design and effectiveness of business controls.,Strong understanding of wholesale capital markets.,Knowledgeable of regulations and industry best practices.,Problem solving skills and the ability to work independently.,Prioritizing to manage tasks efficiently and in a timely manner.,Strong oral and written communication skills.

Observe proper standards of market conduct,Comply with CBI's Fitness and Probity Regime (F&P)