Compliance Governance & Operations Manager (US)
TD
Tableau
Compliance Monitoring and Testing
TD
full-time
Posted on:
Origin: • 🇺🇸 United States • Florida
Visit company websiteSalary
💰 $86,840 - $139,360 per year
Job Level
SeniorLead
Tech Stack
Tableau
About the role
- Lead development and implementation (or lead support) of enterprise Compliance programs, including frameworks, policies, standards and development of procedures, awareness and specialized training, monitoring, reporting and escalation of issues
- Lead strategic planning efforts and support U.S. Compliance Monitoring and Testing in defining the long-term vision, priorities, and success measures for the program
- Develop management routines, operating frameworks, and program governance models to ensure consistent execution and alignment with compliance leadership objectives
- Identify and assess opportunities for continuous improvement across U.S. Compliance Monitoring and Testing Programs and influence execution in collaboration with vertical leads
- Work with Compliance Units, Compliance Testing, and Oversight Functions to develop and manage the annual monitoring plan for the U.S., report on regulatory themes and potential gaps, and create standards and procedures
- Provide governance oversight through management of the policy and training exemption governance and reporting processes to the Compliance Senior Executive Team
- Prepare summaries, presentations, briefing notes, and required documentation to effectively report on the status of the Compliance program
- Participate in and support regulatory examinations and external/internal audits with respect to CGO portfolio information requests
- Deliver subject matter expertise and Compliance advice to business Compliance partners and interact with Legal and Risk functions
- Lead/facilitate and implement actions/remediation plans to address performance, risk, and governance issues
- Manage and support team development, knowledge transfer, and collaboration within the Compliance function
Requirements
- Undergraduate degree or equivalent work experience
- 7+ years of experience
- CRCM certification preferred
- Knowledge and experience with risk management environment, standards, and regulations
- Knowledge and experience within compliance or audit, legal and regulatory environment, enterprise governance framework, products and services, policies, standards, systems, reporting and training requirements
- Knowledge of current and emerging trends, including regulatory expectations and standards for effective compliance management systems
- Ability to research, interpret and summarize relevant regulatory expectations, laws, regulations and impacts to Compliance Program elements
- Skill in using computer applications including MS Office and Tableau
- Skill in using advanced analytical software tools, data analysis methods and specialized reporting techniques
- Ability to independently identify, assess, and escalate issues requiring senior management attention
- Strong analytical skills and attention to detail
- Ability to work both individually and as a team
