Manager,Compliance Risk Management & Program Operations Job Markham area,Ontario Canada,Business

Position: Manager, Compliance Risk Management & Program Operations (4478)

Description

KEY ACCOUNTABILITIES

CUSTOMER

Work with Compliance partners and other related groups (such as Legal and Risk) to support creation of documentation and reports required by external regulatory bodies and TD internal groups

Lead development of team procedures and governance processes and advise the Compliance stakeholders and teams of changes and enhancements to enterprise Compliance programs and requirements and where they may impact in the organization.

Provide governance oversight through management of the policy and training exemption governance and reporting processes to the Compliance Senior Executive Team (and related Compliance Sub-Committees)

Assist Compliance team members in the use of Issues and Events system for tracking and reporting

Prepare summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of the Compliance program

Represent CGO as a specialist on internal or external committees as well as on enterprise-wide Regulatory Change Management initiative, as required

Deliver relevant subject matter expertise and Compliance advice to business Compliance partners

Interact with control functions within the organization

Conduct meaningful research, analysis, and assessment of Compliance program activities at the functional level using results to draw conclusions, make recommendations, assess the effectiveness of enterprise Compliance programs

Participate in / Manage regulatory examinations and external / internal audits with respect to request for information regarding CGO portfolio; reviewing, packaging and providing information for department executive

SHAREHOLDER

Adhere to enterprise frameworks and methodologies that relate to activities for our business area

Make sure respective programs/ policies/ practices are well managed, meets business needs, complies with internal and external requirements, and aligns with business priorities

Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; escalate issues where appropriate

Manage business operations to be in compliance with applicable internal and external requirements (e.g. financial controls, segregation of duties, transaction approvals and physical control of assets)

Participate in cross-functional / enterprise / initiatives as a subject matter expert helping to identify risk / provide guidance for complex situations

Conduct internal and external research projects; support the development/ delivery of presentations / communications to management or broader audience

Conduct meaningful analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess the effectiveness of programs/ policies/ practices

Monitor service, productivity and assess efficiency levels within own function and implement continuous process / performance improvements where opportunities exists

Lead / facilitate and/or implement actions / remediation plans to address performance / risk /governance issues

Actively manage relationships within and across various business lines, corporate and/or control functions and manage alignment with enterprise and/or regulatory requirements

Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts

Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite

EMPLOYEE / TEAM

Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues/ points of interest

Provide thought leadership and/ or industry knowledge for own area of expertise in own area and participate in knowledge transfer within the team and business unit

Keep current on emerging trends/ developments and grow knowledge of the business, related tools and techniques

Participate in personal performance management and development activities, including cross training within own team

Keep others informed and up-to-date about the status / progress of projects and / or all relevant or useful information…


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