Compliance Manager - Monitoring- Regulatory Compliance, Complaint Oversight, Vendor Oversight

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Pour obtenir de plus amples renseignements, consultez notre **.*** Ability to execute and enhance the Bank's monitoring program, completing targeted regulatory compliance reviews, complaint monitoring reviews, and vendor monitoring.* Manage and/or perform independent compliance reviews of regulatory requirements impacting the products and/or channels supported.* Conduct regulatory research.* Provide guidance, make recommendations, and collaborate with businesses to facilitate compliant solutions that meet the business needs on a complex project or program.* Completing individual detailed analysis and workpapers, as well as the associated reporting, follow-up, and discussion/presentation to Executive Management.* Works independently and is accountable for managing a specialized Compliance function or area* Provides comprehensive coverage for a significant business or functional area across all legal entities and jurisdictions where TD operates* Provides advanced analysis and/or specialized reporting to support business partners, functional areas or centers of expertise* Provides guidance and support to analysts on matters related to portfolio and specialty* Typically a subject matter expert for a key functional Compliance area and business* Contact for business management, dealing with non-routine information* Manages/assists with regulatory reviews including inquiries, audits, and exams* Identifies and leads problem resolution for project/program complex requirements related issues at all levels* Undergraduate degree or equivalent work experience* 7+ years of experience* **Previous experience with regulatory compliance for delivery channels such as Digital Banking, Marketing, and Contact Centers is a must.*** **Previous audit, monitoring, or testing experience.*** **Subject Matter Expertise in Consumer Compliance regulations as they pertain to delivering bank products and services including Digital, Marketing, and Contact Centers.*** **Broad understanding of consumer banking compliance rules, laws, and regulations.*** **Deep knowledge and experience interpreting and applying consumer banking laws, rules, and regulations.*** **Experience with third-party oversight a plus.*** Proactively advises the business of new and changed Compliance regulatory and/or policy changes* Formulates relevant and meaningful insights from data analysis and leads on the interpretation of complex business issues, generates multifaceted insights and identifies opportunities to address business regulatory requirements and issues* Contributes to the development and implementation of Compliance programs* Guides partner through the development, implementation, oversight and management of effective Compliance Programs* Prepares summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of Compliance* Represents Compliance on internal or external committees relating to designated business activities as required* Delivers relevant subject matter expertise and Compliance advice to business management* Conducts meaningful analysis at the functional or enterprise level using results to draw conclusions, makes recommendations, assesses the effectiveness of programs/policies/practices* Maintains oversight (via review and approval) of all functions and accountabilities related to management reporting and analysis* Manages high risk initiatives and escalations; leads initiatives/guidance as appropriate* Actively assists in developing Compliance Team procedures* Facilitates the periodic Compliance risk and self-assessment activities for designated business using TD's Enterprise Compliance Risk Assessment Framework* Monitors that assessments (monitoring, risk assessment etc.) are completed and communicated in a continuous and timely fashion* Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate* May provide review and content in the development of annual awareness training* Manages the risk assessment process for assigned businesses* Protects the interests of the organization, our customers and our communities – identifies and manages risks, and promotes the prompt and thorough resolution of escalated non-standard, high risk issues* Conducts internal and external research projects; supports the development/delivery of presentations/communications to management or broader audience* Actively manages relationships within and across various business lines, corporate and/or control functions and promotes alignment with enterprise and/or regulatory requirements* Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts* Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite* Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and promotes timely communication of issues/points of interest* Provides thought leadership and/or industry knowledge for own area of expertise and participates in knowledge transfer within the team and business* Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques* Participates in personal performance management and development activities, including cross training within own team* Keeps others informed and up-to-date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities* Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices* Leads, motivates and develops relationships with internal and external business partners/stakeholders to develop productive working relationships* Contributes to a fair, positive and equitable environment that supports a diverse workforce* Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally* Domestic Travel – Occasional* International Travel – Never* Performing sedentary work – Continuous* Performing multiple tasks – Continuous* Operating standard office equipment - Continuous* Responding quickly to sounds – Occasional* Sitting – Continuous* Standing – Occasional* Walking – Occasional* Moving safely in confined spaces – Occasional* Lifting/Carrying (under 25 lbs.) – Occasional* Lifting/Carrying (over 25 lbs.) – Never* Squatting – Occasional* Bending – Occasional* Kneeling – Never* Crawling – Never* Climbing – Never* Reaching overhead – Never* Reaching forward – Occasional* Pushing – Never* Pulling – Never* Twisting – Never* Concentrating for long periods of time – Continuous* Applying common sense to deal with problems involving standardized situations – Continuous* Reading, #J-18808-Ljbffr TD Bank