AVP, Audit, Regulatory Compliance Management Oversight in Toronto, Ontario

Work Location:

Canada

Hours:

37.5

Line of Business:

Audit

Pay Details:

We’re committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.

Job Description:

Department Overview:

Our team of trusted audit professionals interact with every part of the Bank to provide strategic guidance and independent oversight. Through due diligence, and with a strong sense of integrity, we help mitigate potential risks to our business. At the heart of audit is our specialization in all the businesses across the bank.

Safeguarding the reputation of TD’s good governance depends on us.

We’re counted on to provide recommendations to enhance operational performance, at every single level to foster meaningful process improvements and ensure adherence to internal and external regulations. We crunch the data, consult with our partners and stakeholders, and present our findings to mitigate the risks of today and around the corner and help keep our daily operations running smoothly for our customers.

Associate Vice President Profile:

Associate Vice Presidents (AVPs) at TD Bank Group contribute to the overall reputation of TD. As executives, AVPs help to set the ethical, organizational and performance standard for the teams they lead and exemplify how an effective performance and development culture functions day to day. An AVP is expected to guide his/her team, collaborating as appropriate with TD partners, to deliver superior results in both the short and long term.

AVPs promote adherence to TDBG’s vision and purpose to be the better bank, and to enrich the lives of customers, communities and colleagues. As part of the general management of their function, AVPs are accountable to deliver against TD’s five shared commitments:

• Think like a customer; provide legendary experiences and trusted advice

• Act like an owner; lead with integrity to drive business results and contribute to communities

• Execute with speed and impact; only take risks we can understand and manage

• Innovate with purpose; simplify the way we work

• Develop our colleagues; embrace diversity and respect one another

Job Description / Accountabilities:

The AVP, Audit, Compliance (non-US), Regulatory Compliance Management Oversight Functions will be responsible for the 3rd line of defence audit coverage for TD Bank’s regulatory compliance management (RCM) Framework, including oversight functions in the second line compliance function as well as RCM oversight functions outside of compliance environment.

Reporting to the VP Audit, Compliance, the AVP is a leader within Internal Audit responsible for overseeing a team of Audit professionals. The general accountabilities of this role include but are not limited to the following:

• Design, plan & execute Audit Plan for coverage of Compliance (non-US), Regulatory Compliance Management Oversight Functions

• Responsible for the broader Division mandate to contribute to a strong control culture

• Develop a team focused on enterprise compliance, not just local needs.

• Develop & maintain strong relationships with key stakeholders

• Staff the function with appropriately skilled individuals and augment with SMEs where necessary.

• Attract, develop and retain key talent, making audit a great place to work

• Develop a risk-based Audit Plan & deliver the plan evenly over the course of the year.

• Ensure quality of work meets division standards.

• Identify all significant control gaps in areas we audit

• Provide clear, comprehensive and timely reporting on significant control matters.

• Manage financial budget within plan and risk

Job Requirements

• Undergraduate degree required; Post Graduate degree preferred

• Professional Accreditation such as Chartered Professional Accountant or Chartered Financial Analyst would be an asset

Other Qualifications/Skills/Experience:

• 10+ years leading Audit within a regulatory environment

• Compliance (2nd line coverage preferred) audit expertise

• Passion for understanding how rapid changes in the financial services sector will impact the enterprise.

• Previous experience developing and executing on strategies in both the short and long term

• Strong people management skills; experience building and leading high performing teams

• Demonstrated relationship building and stakeholder management skills, with the ability to make things happen through the use of positive influence

• Excellent analytical skills in assessing risk, issues and challenging the status quo

• Skillful communication (written and verbal), negotiation and partnership skills to balance stakeholder input but remain objective to reach the right outcome

• Ability to stay resilient under pressure

• Strong presentation skills to facilitate working with senior management and representing the division

• Robust organizational skills with the ability to work in a fast-paced environment and manage multiple deadlines and priorities

Who 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 Package

Our 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 a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs. Learn more (http://www.td.com/ca/en/about-td/who-we-are/benefits-of-working-at-td)

Additional 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 & Onboarding

We 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.

Accommodation

Your accessibility is important to us. Please let us know if you’d like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you!

Language Requirement (Quebec only):

Sans Objet

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