Compliance Governance & Operations Manager

**Work Location**

Dublin, Ireland

**Hours:**

35

**Line of Business:**

Compliance

**Pay Details:**

We’re committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.

**Job Description:**

The mandate of the TD Compliance Department is to manage compliance risk across TD globally to align with the policies established and approved by the TD Board of Directors’ Audit and Risk Committees. It is the Compliance Department’s responsibility, as proactive and trusted advisors to Businesses, to drive a consistent, adaptable and effective culture across the organization so that compliance risks are appropriately mitigated. Compliance Department responsibilities generally are to advise, monitor, and escalate.

### ***The Compliance Governance & Operations Manager is an integral part of the TDGF Compliance department. This individual will be responsible for core activities including Monitoring & Testing, issues management, stakeholder engagement and participating in local and global initiatives and other compliance tasks as needed.***

**Specific Responsibilities include but are not limited to:**

• Manage the full life-cycle of compliance testing, from planning through to reporting, driving continuous improvement.
• Develop the annual monitoring & testing plan;
• Determine scope of reviews; build detailed review steps; organize documentary evidence of review;
• Execute tests and write summary report to document exceptions and action plans;
• Participate in the compliance risk assessment exercise.
• Assist on ad-hoc Compliance projects and initiatives;
• Build relationships with key stakeholders locally and globally.

**Educational Requirements / Accreditations / Other Qualifications / Skills / Experience:**

• Minimum of 5 years of demonstrated relevant experience in the industry.
• Experience of testing and monitoring the design and effectiveness of business controls.
• Strong understanding of wholesale capital markets.
• Knowledgeable of regulations and industry best practices.
• Problem solving skills and the ability to work independently.
• Prioritizing to manage tasks efficiently and in a timely manner.
• Strong oral and written communication skills.

**Risk Management** **Responsibilities:**

• Responsible for identifying and reporting Operational Risk Events in accordance with policy
• Responsible, along with all colleagues, to contribute in a positive way to TDGF's reputation and the management of Reputational Risk. Every employee is expected and required to follow ethical practices at all times, including compliance with applicable policies, legislation and regulations and support positive interactions with TDGF's stakeholders including clients, industry bodies, industry participants, public bodies, regulators and vendors.
• Responsible for good conduct and for contributing to the identification and management of Conduct Risk within their team and function

**Regulatory Requirements:** ***(CF role holders)***

You must observe proper standards of market conduct. It is your responsibility to demonstrate that you take reasonable steps to be fully aware of, understand and comply with all regulatory requirements from all regulatory bodies that are applicable to your business. You will promptly report to your supervisor(s) or manager(s) any instances in which you are aware of any violation or possible violation of such regulatory requirements by yourself or others.

In particular, as a Controlled Function for the purposes of the CBI's Fitness and Probity Regime ( **F&P** ), you must be aware of and comply with your obligations under the regime.

The **F&P** Standards require that a person must be

• Competent and capable;
• Act honestly, ethically and with integrity; and
• Be financially sound.

**Central Bank of Ireland Conduct Standards**

In addition to the responsibilities set out in this job description, as well as TD’s own policies and procedures (see below), you required to comply at all times with the CBI Conduct Standards. The following Conduct Standards apply to you:

**Common Conduct Standards:**

• Acting with Honesty and Integrity
• Acting with Due Care and Diligence
• Co-operating in Good Faith and Without Delay
• Acting in the Best Interests of Customers and Treating Them Fairly and Professionally
• Operating in Compliance with Standards of Market Conduct and Trading Venue Rules

**TD Policy Requirements:**

It is your responsibility to demonstrate that you are fully aware of and adhere to internal TD Policies that relate to you, your business or other businesses for which you have any level of responsibility.

It is your responsibility to read, understand and comply with TD's Code of Conduct and Ethics (Code) and corresponding regulations. The Code establishes the standards that govern the way we deal with each other, our customers, shareholders, governments, regulators, suppliers, competitors, the media and the public at large. You will be notified of changes to policies in a timely manner through announcements and/or intranet updates.

You must act with integrity and due skill, care and diligence in carrying out your duties. Your actions should always be able to satisfy high standards of scrutiny.

Management should be kept fully informed at all times of all Regulatory and Compliance issues. You must deal with TD Management, Compliance, regulators and all control functions in an open and cooperative way and must disclose appropriately any information which TD Management, Compliance, regulators or control functions would reasonably expect to know.

You must ensure that you are fully aware of your management reporting lines and escalation procedures

**Who We Are**

TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we strive to make every interaction, product, and experience remarkably human and refreshingly simple for 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 foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities.

**Our Total Rewards Package**

Our Total Rewards package reflects the investment we make in our colleagues to help them, and their families achieve their well-being goals. Total Rewards at TD includes a base salary and several other key plans such as health and well-being benefits, including medical coverage, paid time off, career development, and reward and recognition programs.

**Additional Information:**

We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

**Colleague Development**

If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.

If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.

We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.

**Training & Onboarding**

We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

**Interview Process**

We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

**Accommodation**

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.