The Compliance Business Oversight Manager provides advice, support and objective guidance to assigned portfolio, business or function on development and maintenance of all aspects of Compliance/Center of Excellence programs in line with the Bank's risk philosophy and strategic direction.
Compensation
$91,000 - $145,600 USD
Responsibilities
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
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
Requirements
Undergraduate degree or equivalent work experience
Support the Delegated Underwriting Authority Lead, Pacific in governance and performance management of delegated underwriting and MGA arrangements across Australia and New Zealand.
Responsibilities
Coordinate due diligence, approval, renewal and exit activities for DUA and MGA partners
Monitor DUA and MGA performance against underwriting authority, risk appetite, product parameters, service standards and financial outcomes
Support CPS 230-aligned oversight of material DUA and MGA service provider arrangements
Maintain clear governance records, management information, committee papers and reporting
Partner with underwriting teams to ensure delegated authority, binder, bordereaux and agreed service arrangements are understood and monitored
Support the EMEA Financial Crime Oversight, Assurance & Testing (OAT) function through execution of assurance reviews, control testing and remediation validation activities.
Responsibilities
Execute assurance reviews, thematic reviews and control testing activities in accordance with approved OAT methodologies and assurance standards.
Perform walkthroughs, sample testing, evidence gathering and documentation activities to support assurance engagements across the EMEA Financial Crime framework.
Prepare and maintain high-quality working papers, testing records and supporting documentation to ensure a clear and auditable review trail.
Identify potential control weaknesses, exceptions and findings, escalating matters appropriately to senior team members.
Assist in the validation of remediation actions arising from assurance reviews, regulatory findings, Internal Audit findings and other control deficiencies.
Requirements
Bachelor’s Degree in Business, Law, or other appropriate discipline.
Support the EMEA Financial Crime Oversight, Assurance & Testing (OAT) function through the execution of assurance reviews, control testing and remediation validation activities, helping to assess the effectiveness of Financial Crime controls across the EMEA region.
Responsibilities
Execute assurance reviews, thematic reviews and control testing activities in accordance with approved OAT methodologies and assurance standards.
Perform walkthroughs, sample testing, evidence gathering and documentation activities to support assurance engagements across the EMEA Financial Crime framework.
Prepare and maintain high-quality working papers, testing records and supporting documentation to ensure a clear and auditable review trail.
Identify potential control weaknesses, exceptions and findings, escalating matters appropriately to senior team members.
Assist in the validation of remediation actions arising from assurance reviews, regulatory findings, Internal Audit findings and other control deficiencies.
Requirements
Bachelor’s Degree in Business, Law, or other appropriate discipline.
Nice to have: Experience in AML, Compliance, Financial Crime Prevention, Quality Assurance, Oversight, Risk Management or Control Testing functions within a regulated financial services environment.
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