Governance & Control Lead, Regulator Compliance
Description
The Governance & Control Lead will join the Business Banking Governance & Control (BBG&C) team, acting as the 1st Line of Defense for risk management. This role involves working with Control Partners to implement control frameworks, proactively mitigate operational and regulatory risk, and conduct quality control testing for compliance. The individual will support AML/Regulatory Compliance Management as a Subject Matter Expert, manage/conduct ongoing quality testing for key controls, and assist on governance and control programs. Responsibilities also include managing the intake and assessment of risk incidents, coordinating the issues lifecycle, providing specialized advice, and interpreting guidelines to inform decision-making. The role requires reviewing processes and controls to increase standardization.
What We're Looking For
Manage and assist on business governance and control programs.,Execute governance and control activities in accordance with established standards.,Lead periodic refresh of AML/RCM controls.,Manage 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/reporting, 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 related advice/support to management and teams.,Interpret guidelines, standards, policies, and analysis results to inform senior-level decision making.,Review processes and controls to increase standardization of solutions.,Exercise discretion in managing correspondence and confidential information.,Keep management informed about testing status and completion.,Foster a positive work environment and assist others, providing training, coaching, and guidance as appropriate.
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 the Banking industry (considered an asset),Detail oriented and strong analytical skills,Experience in collecting and organizing information,Ability to exercise sound judgment in making decisions,Ability to work independently and collaboratively,Proficient knowledge of governance, risk and control procedures, strategies & tactics,Effective time management, multi-tasking and organizational skills,A business or finance degree (an asset),Certification(s) relating to Risk or Audit (e.g., CIA, CPA, ACAMS) (an asset)
Minimum Education
Not Specified (Business or finance degree is an 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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