Senior Compliance Manager - Compliance Monitoring and Programs

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Pour obtenir de plus amples renseignements, consultez notre **.*** Recognized as top level expert within the company and requires significant in-depth and/or breadth of expertise in a complex field and knowledge of broader related areas* Senior specialist providing advisory services to executives, business segment leaders and governs the requirements for own work* Integrates knowledge of the enterprise function’s or business segment’s overarching strategy in leading program design, policy formulation or operating standards within one or more areas of expertise* Anticipates emerging business trends and regulatory/risk issues as a basis for recommending large-scale product, technical, functional or operations improvements* Serves as a source of expert advice to senior management in field of specialty* Advises on execution strategy and leads the development and deployment of functional programs or initiatives within their own field or across multiple specialties* Solves unique and ambiguous problems with broad impact; typically oversees standards, controls and operating methods that have significant financial and operational impact within the context of their own field* Requires innovative thinking to develop new solutions* Impacts the technical or functional direction and resource allocation of part of an enterprise function or business segment* Works within general policies and industry guidelines* Engages stakeholders to take action; serves as a source of expert advice, influences change; frames information in a broader organizational context* Provides leadership guidance, makes recommendations and collaborates with business to facilitate that solutions meet the business needs on a complex project or program* Identifies and leads problem resolution for project/program complex requirements related issues at all levels* Undergraduate degree or equivalent work experience* 10+ years of experience* Big bank and experience with large-scale remediations* Knowledge of alphabet soup regulations* Experience with multiple products (auto, RE servicing, small business, etc.)* Backfilling regulatory knowledge with an understanding of the inner workings of regulatory programs* Programmatic knowledge of an effective compliance management program* CRCM a plus* Experience with CFPB and OCC examiners helpful* Proactively advises the business of new and changed Compliance regulatory and/or policy changes* Formulates relevant and meaningful data analysis, leveraging advanced modeling and analytics, 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 and overseeing implementation of business line policies and Compliance Team procedures* Oversees respective programs/policies/practices are well managed, meet business needs, comply with internal and external requirements, and align with business priorities* Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate* Partners with the governance & assurance function to develop annual awareness training* Conducts enterprise wide annual risk assessment for all TD businesses* Protects the interests of the organization – 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 #J-18808-Ljbffr TD Bank