Head of Compliance, Quality Assurance
: Job Details :

Work Location:New York, New YorkHours:40Pay Details:$160,000 - $220,000 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:ComplianceJob Description:Department Overview:The Global Compliance Department is responsible for overseeing regulatory compliance across TDBG in accordance with the Global Compliance Operating Framework. The team is accountable for promoting regulatory compliance by developing and maintaining compliance programs, including identifying and disseminating regulatory developments to businesses they support, maintaining Compliance policies, managing complaints and regulatory filings, providing relevant training, carrying out independent monitoring and oversight activities, reporting on the state of compliance to the Board, UDP and senior management, as needed, and providing advice and support, as required.Job Details:The AVP, Compliance, Quality Assurance reports to the TDBG SVP, Deputy Chief Compliance Officer and Compliance Transformation.Individual Accountabilities:• Oversees and lead the teams responsible for Compliance Units Quality Monitoring (QM) and Quality Assurance Review (QAR) programs for Global Compliance.• Develop and executes the Quality Monitoring and QAR annual plan as well as evolving the QAR strategy to align with regulatory expectations and industry best practices.• Evolves and enhances the QM and QAR subject matter expertise, program, and processes.• Plans and leads quality assurance activities that require understanding across multiple areas of the Compliance function.• Acts as a subject matter expert on the Regulatory Compliance Management Framework and supporting Standards.• Reports the results of the QM and QAR activities to key stakeholders.• Provide leadership to CSET members in delivering the Road to Strong Program for Global Compliance, leading QAR and Quality Monitoring workstreams as needed.• Lead / facilitate compliance engagement in governance programs, offering guidance, and contributing to the development of associated frameworks, policies, processes, and procedures.• Guides the team and participates in identification of issues and applicable recommendations to the Compliance teams.• Identifies key gaps in the execution of the RCM Framework and Standards and recommends possible methodology improvement and training opportunities.• 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 required.• Develop and grow the compliance aspect of risk management programs, working in coordination with relevant teams.• Foster a culture receptive to innovation and change within the compliance team, promoting adaptability and forward-thinking.Key Shared Accountabilities:• Set tone at the top in support of a strong risk & compliance culture within Compliance and across the enterprise.• With business and other Risk partners promote a strong governance & control environment with periodic assessments against industry practices• With Risk, ensure that the Bank operates within the compliance risk appetite and that operational risk from a Compliance standpoint is being effectively mitigated, assessed, and managed.• Keeps current on emerging risks, trends and evolving regulatory requirements for Compliance and the QM and QAR teams.• Builds positive, diverse, and open work environment by continually improving the efficiency, sharing deep knowledge and skills, and encouraging the team to deliver results.• Attracts, develops, retains talent, and maintains an active talent pipeline.Job Requirements:• University degree required: Post Graduate degree preferred• CPA, CA and/or CIA designation preferred• 10+ years of relevant industry and management experience• Familiarity with regulations and compliance strategies and risk management; possesses and demonstrates expertise in the advisory, policy, change management, project management and operations • Highest personal and professional integrity and standards to advance TD's vision and protect the brand• Strong verbal and written communication skills, including public speaking/presentation skills and well developed listening and negotiation skills• Ability to work in a fast-paced environment and manage multiple priorities• People leadership and management experience focused on talent development and coaching to nurture a high performing team• Ability to operate in an evolving, sometimes ambiguous, matrixed environment.• Strategic thinker; has excellent judgment, achieves the right risk/reward balance• Demonstrates ability delivering on objectives, focuses on what matters and can work across silos to build effective working relationships• Transparent communicator and respected TD representative, both internally and externally• Models TD's executive leadership profile: skilled leader, high confidence, low ego, inspiring to professionals, operates through influence, motivates and developments leadership teams• Advances TD's leadership development, colleague experience & diversity agenda• Possesses an advanced level of financial and strategic acumen to provide insight onstrategy development and execute effectively on a broad range of key business management activities• Strong relationship building and negotiation skills and the ability to interact with sensitivity and leadership to advance and influence the culture Compliance aims to promote Demonstrates strong • problem solving & analytical skills, including the ability to comprehend a situation by breaking it down into its components and identifying underlying issues• Can manage a diverse group of professionals and mobilize teams against complex requirements• Expertise in working effectively in ambiguity with all levels of colleagues and executives to enhance the colleague experience• Exhibits confident presentation and facilitation skills and strong interpersonal and leadership skills to facilitate working with business and senior management at all levelsWho 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. TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing – and so will you.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. Learn moreAdditional 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 Development If 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. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we're committed to helping you identify opportunities that support your goals.Training & OnboardingWe will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.Interview Process We'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 ...@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.SummaryLocation: New York, New YorkType: Full time