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Compliance Governance & Operations Manager

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TD Bank

1mo ago

  • Job
    Full-time
    Mid & Senior Level
  • London

AI generated summary

  • You should have 3-5 years of relevant experience, knowledge of regulations, internal controls, strong communication skills, problem-solving abilities, and the capacity to manage tasks efficiently.
  • You will assess compliance risks, develop monitoring plans, execute reviews, report findings, oversee remediation, support ad-hoc projects, and build stakeholder relationships.

Requirements

  • • Minimum of 3-5 years of demonstrated relevant experience in the industry.
  • • Knowledgeable of regulations and industry best practices;
  • • Have the ability to conduct regulatory research.
  • • Understanding of internal controls framework.
  • • Testing the design and effectiveness of business controls.
  • • Understanding of regulatory rules.
  • • Problem solving skills and the ability to work independently.
  • • Prioritizing to manage tasks efficiently and timely
  • • Strong oral and written communication skills.
  • • Ability to build and maintain professional relationships with internal and external parties.
  • • Audit or Controls experience a plus
  • • Regulatory experience a plus.

Responsibilities

  • Participate in the compliance risk assessment exercise.
  • Assist with developing 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;
  • Communicate deficiencies to the business.
  • Oversee remediation of gaps identified in the testing process;
  • Assist on ad-hoc Compliance projects and initiatives;
  • Build relationships with key stakeholders locally and globally.

FAQs

Where is the Compliance Governance & Operations Manager position located?

The position is located in London, United Kingdom.

What is the working hour requirement for this position?

The working hour requirement for this position is 35 hours per week.

What line of business does this position fall under?

This position falls under the Compliance line of business.

What is the minimum experience required for candidates applying for this role?

Candidates are required to have a minimum of 3-5 years of demonstrated relevant experience in the industry.

Are candidates expected to have knowledge of regulations and industry best practices?

Yes, candidates should be knowledgeable of regulations and industry best practices.

Is regulatory experience considered an asset for this position?

Yes, regulatory experience is considered a plus for this position.

What kind of training and onboarding does TD provide for new employees?

TD provides training and onboarding sessions to ensure that new employees have everything they need to succeed in their role.

Will I have opportunities for career and professional development at TD?

Yes, TD is committed to colleague development, providing regular career, development, and performance conversations, as well as access to an online learning platform and various mentoring programs.

Is it necessary to be proficient in both oral and written communication for this role?

Yes, strong oral and written communication skills are required for this position.

Does TD have a commitment to inclusiveness in the workplace?

Yes, TD is committed to fostering an inclusive, accessible environment where all employees feel valued, respected, and supported.

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TD Bank

Finance
Industry
10,001+
Employees

Mission & Purpose

Headquartered in Toronto, Canada, the Toronto-Dominion Bank and its subsidiaries are collectively known as TD Bank Group (TD). TD had CDN$1.9 trillion in assets on July 31, 2023. TD also ranks among the world’s leading online financial services firms, with more than 16 million active online and mobile customers. TD offers a full range of financial products and services to over 27.5 million customers worldwide through four key business lines: - Canadian Personal and Commercial Banking including TD Canada Trust, Business Banking, and MBNA - U.S. Retail including TD Bank, America’s Most Convenient Bank, TD Auto Finance (U.S.), TD Wealth (U.S.) and TD’s investment in Schwab - Wealth Management & Insurance including TD Wealth (Canada), TD Direct Investing, and TD Insurance - Wholesale Banking including TD Securities and TD Cowen