Logo of Huzzle

Home

Matches

Explore

Manage

Compliance Governance & Operations Manager

image

TD Bank

30d ago

  • Job
    Full-time
    Mid & Senior Level
  • Legal
  • London

AI generated summary

  • You need 3-5 years in compliance, knowledge of regulations, experience with internal controls, strong communication skills, and the ability to work independently and manage tasks efficiently.
  • You will assess compliance risks, develop monitoring plans, execute tests, document findings, communicate deficiencies, oversee remediation, support 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

What is the work location for the Compliance Governance & Operations Manager position?

The work location is London, United Kingdom.

What are the working hours for this role?

The working hours for this role are 35 hours per week.

What is the main responsibility of the Compliance Governance & Operations Manager?

The Compliance Governance & Operations Manager is responsible for core activities including Monitoring & Testing, Regulatory filings, and participating in local and global initiatives, among other compliance tasks.

What qualifications are required for this position?

Candidates should have a minimum of 3-5 years of relevant experience, knowledge of regulations and industry best practices, strong problem-solving skills, and the ability to build professional relationships.

Is regulatory experience a plus for this job?

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

What shared commitments does TD encourage in its executives?

TD encourages its executives to think like a customer, act like an owner, execute with speed and impact, innovate with purpose, and develop colleagues.

Does TD promote inclusiveness in the workplace?

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

What kind of training and onboarding will be provided for new employees?

New employees will receive training and onboarding sessions to ensure they have everything they need to succeed in their new role.

How does TD support colleague development?

TD supports colleague development through regular career conversations, access to an online learning platform, and various mentoring programs.

What does the Total Rewards package at TD include?

The Total Rewards package includes a base salary, health and well-being benefits, paid time off, career development, and reward and recognition programs.

Will I receive communication about my interview status?

Yes, TD strives to communicate outcomes to all applicants by email or phone call.

Is accommodation available during the recruitment or interview process?

Yes, if you require an accommodation for the recruitment/interview process, TD will work with you to meet your needs.

image

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