Governance & Control Lead, Regulator Compliance
Description
The Business Banking Governance & Control (BBG&C) team acts as the First Line of Defense in TD's risk management model, collaborating with Control Partners to establish and implement effective control frameworks within Business Banking. These frameworks are designed to proactively mitigate operational and regulatory risks. The team also performs quality control testing to ensure compliance with regulations and business processes. This role reports to the Manager, Business Banking G&C, and focuses on providing support for AML/Regulatory Compliance Management as a subject matter expert, as well as managing and conducting ongoing quality testing for key controls.
What We're Looking For
Manage and assist on business governance and control programs, coordinating across multiple areas and business stakeholders.,Execute governance and control activities according to established standards.,Lead the periodic refresh of AML/RCM controls.,Manage the intake and assessment of risk incidents/potential issues from an AML/regulatory impact standpoint.,Track incidents and manage the Issues lifecycle, coordinating with stakeholders for timely escalation, remediation, and closure.,Provide subject matter expertise on Business Banking Regulatory Compliance/AML.,Execute governance and control testing activities.,Provide specialized business governance and control advice/support to management.,Interpret guidelines, standards, policies, and analysis results to inform senior-level decision-making.,Review processes and controls, identifying connections across issues to standardize solutions.,Exercise discretion with confidential information.,Keep management informed of testing status and completion.,Foster a positive work environment and assist team members, providing training, coaching, and guidance.
Ideal Candidate
Minimum 7+ years related experience,Previous Audit, AML, Regulatory Compliance Testing or 1st Line Controls Testing experience with in-depth knowledge of business processes within Banking industry (asset),A business or finance degree (asset),Certification(s) relating to Risk or Audit e.g. CIA, CPA, ACAMS (asset)
Minimum Education
Bachelor's Degree (asset)
Hard Skills
Soft Skills
Work Hours
37.5 hours/week
Benefits
Special Commitments
Subject to provincial regulation for employment purposes
About the Company
The Toronto-Dominion Bank
The Toronto-Dominion Bank and its subsidiaries are collectively known as TD Bank Group, one of the largest banks in North America. TD provides a wide range of personal, commercial, and investment banking products and services to over 27 million customers globally. Headquartered in Toronto, Canada, the bank operates through key segments including Canadian Retail, U.S. Retail, and Wholesale Banking.
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