Governance & Control Sr Mgr (US)

Governance And Control Senior Manager

The Governance and Control Senior Manager is accountable for ensuring the channel is meeting its compliance obligations to a number of internal and external stakeholders including Interac, Visa, MasterCard, TRMIS, Strategic Sourcing, OFSFI, Quarterly Sarbanes Oxley, Global AML, SAS 70 Reviews, Business continuity planning, and Risk self-assessments. This position will take a leadership role in identifying operational risks and ensuring the appropriate controls are introduced and followed to ensure risks are well communicated, understood and mitigated where possible. This role will be accountable for channel compliance to external regulatory agencies.

Depth & Scope :

• Develops an Operational Risk Oversight model for the ATM channel which consolidates known risks, documents existing controls and fits within the overall Direct Channels / TDBFG risk framework
• Participates within all external audits (Interac, Visa PCI, MasterCard), tracking of non-compliant items with development of action plans to address any gaps
• Ensures ATM Channel remains compliant to current Accessibility standards - provides input into the evolution of existing standards
• Represents channel through participation in information security Risk oversight model (TRMIS)
• Remains current on changes and trends to internal / external operational risks that would impact the channels risk profile
• Remains current on external regulatory changes and understands impact to ATM channel operational environment
• Accountable for the development and execution of the ATM Channels BCM Plan including Pandemic Planning
• Accountable for the assessment of vendor BCM plans to ensure risks are understood and mitigated
• Works with internal audit in the completion of operational audits with the channels including tracking and mitigation of any findings
• Liaises on a regular basis with various internal risk based departments to ensure all Regulatory and Operational requirements are understood and met
• Develops and maintains relationships with external organizations that create the ATMs channels regulatory environment
• Monitors fraud trends within the channel and works with ATM operations to mitigate
• Accountable for the delivery of all risk based reporting in support of the channel
• Primary relationship owner for Operational / Regulatory Risk, Audit, Direct Channels Risk / Compliance oversight and External Agencies that audit our controls against their standards
• Develops and maintains an operating budget, ensuring adherence to budget, and taking corrective action as necessary
• Provides input and assistance to senior management in developing budget and ensures adherence to assigned budgetary factors
• Utilizes and follows Compliance / Risk control programs
• Works with business partners to minimize / eliminate the number of non-compliant items
• Supports and assists with the implementation of company policies, procedures and practices
• Participates on cross-functional project teams and task groups, including those in support of conversion activities
• Takes ownership of and contributes to the ongoing improvement of the Customer experience
• Has a high degree of business acumen in terms of analyzing and understanding business decisions, highly motivated to achieve results, and a commitment to operational and service excellence
• Manages a high performing team in the delivery of accountabilities
• Encourages team to achieve common goals and objectives through effective leadership of people and creates an open, diverse and supportive work environment; acts as a role model
• Develops a team of high quality resources by participating in selection of team members and assessment of performance
• Administers employees in compliance with all human resource policies, procedures and guidelines of conduct
• Successfully completes all required online training and ensures staff completes all required online training

Education & Experience :

Preferred Qualifications :

Physical Requirements :

Never : 0%; Occasional : 1-33%; Frequent : 34-66%; Continuous : 67-100%

Who We Are :

TD is one of the worlds 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 base salary and variable compensation / incentive awards (e.g., eligibility for cash and / or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition.

Additional