Job Description

TD Description
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Department Overview
The Enterprise Testing Team "ETC" – Compliance testing team works pro-actively with the divisions of TD Waterhouse Canada Inc., TD Asset Management Inc. (including TDAM USA), Private Investment Counsel Inc., Private Trust, Private Banking and various other departments within TD who provide support to these businesses. We test and monitor for regulatory compliance to protect the interests of TD, the wealth businesses, its employees and clients.


Reporting to the Senior Manager of the ETC – Compliance Testing Team, the Manager, Testing will support the wealth testing and monitoring program. The Manager models strong ethics, integrity and leadership to promote a positive work environment that fosters collaboration, innovation and synergies. The Manager will be responsible for overseeing testing engagements and monitoring activities as well as the development of team members and supporting the Senior Manager and AVP. The role requires regular interaction and communication with business personnel. Overall success is measured by timely completion of testing engagements and monitoring activities, the quality of the work performed, support provided to the Senior Testing Analysts and the management team. The Manager will:

• Oversee the planning and execution of compliance testing programs
• Manage questions, concerns, escalations regarding testing engagements
• Prepare documentation in accordance with established policies and standards
• Budget and be responsible for tracking of work efforts versus budgets
• Provide knowledgeable recommendations to businesses for control improvements
• Ensure key regulations and key regulatory changes are captured in assigned testing programs
• Participate in business initiatives as assigned
• Proactively contribute to team processes and projects
• Seek process improvements and more efficient ways to deliver value to our businesses
• Review the work of the Senior Testing Analysts
• Provide support, mentor, and develop members of the team
• Provide support for any initiatives assigned by Senior Manager or AVP ETC.

Job Requirements

• Significant controls testing/Audit experience is required
• Work experience in the financial industry, experience with compliance and wealth-related businesses preferred
• Exceptional communication skills with the ability to draft superior quality analyses
• Ability to work independently, apply critical and strategic thinking to issues and make timely decisions
• Ability to read and interpret regulations as well as understand how the regulations may impact our business partners
• Strong problem solving skills and ability to recommend value-added solutions
• Strong relationship management skills and ability to work effectively within both enterprise and business level project groups
• Strong collaborative skills and experience partnering with business units
• Ability to manage multiple deadlines and priorities
• Accounting designation (i.e. CPA, CA) or Audit Designation (CIA)
• Audit or Compliance testing experience required
• CSC/CPH and other relevant industry courses preferred

Inclusiveness
At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live and serve. If you require an accommodation for the recruitment/interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.
Job Family
Compliance Testing
Job Category - Primary
Wealth Management
Job Category(s)
Wealth Management
Hours
37.5
Business Line
Corporate
Time Type
Full Time
Employment Type
Temporary
Country
Canada
**Province/State (Primary)
Ontario
City (Primary)
Toronto
Work Location
TD Centre - South - 79 Wellington Street West
Job Expires
20-Aug-2022