Issue Management, Reporting and Communications Manager
TD
Compliance, Issue Management and Governance Manager
TD
full-time
Posted on:
Location Type: Hybrid
Location: Charlotte • New York, North Carolina • 🇺🇸 United States
Visit company websiteSalary
💰 $86,840 - $139,360 per year
Job Level
SeniorLead
About the role
- Lead and strengthen the development of governance and control activities to help monitor and track regulatory compliance issues across Compliance.
- Become an eGRC subject matter expert to provide support/assistance to Compliance Units in navigating the Issues Management workflow (i.e., MERLIN).
- Lead the update of the Enterprise Regulatory Compliance Issues Management Procedures to ensure alignment with the Enterprise Issues Management Framework and Issues Management Standard.
- Lead the creation and maintenance of job aids, guidance material, process maps, etc. that support issue identification, assessment, remediation, and closure.
- Develop and enhance oversight processes to monitor the health and effectiveness of control environments across business lines.
- Contribute to the development of escalation criteria and reporting thresholds to ensure timely visibility of significant risks and control gaps to senior leaders.
- Conduct deep dives and investigations into reporting results to determine failure in controls and/or repeat offenders.
- Support Regulatory Compliance Management assessment activities and provide analysis into regulatory compliance issues for the Global Chief Compliance Officer Opinion.
- Support communication and training on issues management and the closure of findings against the Compliance Issues Management Program.
- Support ad hoc transformation changes and projects/tasks as required.
- Prepare summaries, presentations, briefing notes, and other documentation to report on the status of the Compliance program.
- Represent CGO as a specialist on internal or external committees and interact with control functions within the organization.
- Participate in/manages regulatory examinations and external/internal audits with respect to requests for information regarding CGO portfolio.
Requirements
- Undergraduate degree or equivalent work experience
- 7+ years of experience
- Preferred: Must have work experience in Compliance, Legal, Risk Management, Technology, or Internal Audit
- Excellent communication skills including written and verbal skills– must be comfortable presenting in front of executives and large audiences.
- Self-starter, ability to lead, plan, execute, and deliver under minimal supervision.
- Knowledge of the Issues Management module in MERLIN is a plus.
- Interest in data and drawing out insights and themes.
- Proven relationship management skills and must be a strong team player.
- Flexibility to quickly adapt to changing and ambiguous initiatives or requirements.
- Ability to exercise sound judgment in making decisions.
- Demonstrate analytical and problem-solving skills to think critically and make informed recommendations.
- Must be highly organized and have excellent time management.
- Creative in solutioning with a strong attention to detail.
- Proficient in MS Office Applications (specifically Excel, PowerPoint, and Visio).
- Undergraduate or post graduate degree
- A minimum of 4 years of relevant work experience (post-degree)
Benefits
- base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan)
- health and well-being benefits
- savings and retirement programs
- paid time off (including Vacation PTO, Flex PTO, and Holiday PTO)
- banking benefits and discounts
- career development, training and onboarding, mentoring, online learning platform
- reward and recognition
- competitive benefits plan
ATS Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
regulatory complianceissues managementdata analysisrisk managementinternal auditanalytical skillsproblem-solvingpresentation skillsdocumentation preparation
Soft skills
communication skillsleadershiprelationship managementteam playerflexibilityjudgmentorganizational skillstime managementcreativityattention to detail
