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TD · 9 hours ago

Compliance Mgr, Reporting Governance and Quality Controls

Charlotte, NC

Full-time

Hybrid

Mid, Senior Level

$91K/yr - $146K/yr

7+ years exp

TD is one of the world's leading global financial institutions, and they are seeking a Compliance Manager to assist with governing and enhancing reporting documentation and executing a quality control function for compliance reporting. This role involves managing day-to-day operations, driving innovation in compliance structures, and collaborating with senior compliance stakeholders.

BankingFinanceFinancial ServicesWealth Management

Responsibilities

Draft and propose enhancements to reporting documentation, including reporting standard, procedures, job aids, and other documentation to align with regulatory requirements and reporting team's responsibilities, ensuring consistency between documentation, as required

Manage and own the review cycle process for all reporting documentation for timely updates

Ability to document the interaction model between the Reporting team and other stakeholders, ensuring consistency in our approach, responsibilities and interaction with other partners

Support the quality control function by enhancing and building reporting checklist and supporting routines for reviewing quantitative and qualitative board and management reporting information and insights, as required

Support the execution of quality controls on board and management reporting, developing action plans where there are gaps and making sure that gaps are addressed

Provide quality control results to respond to audit requests as required, review responses to audit for consistency, clarity, and quality

Create and conduct training to the reporting team and other teams on updates to reporting standard and procedures, and quality control as required

Continue to enhance reporting documentation, quality control processes, suggest ways to improve our interaction model and explore automation opportunities

Qualification

Compliance expertiseRisk ManagementAudit experienceMicrosoft Office SuiteStakeholder managementAnalytical skillsExecutive communicationProcess improvementData visualization toolsAttention to detailOrganizational skillsCritical thinking