Governance & Control Specialist - Human Resources Compliance

TD • Mount Laurel Township, NJ

2d • $91,000 - $136,240

About The Position

The U.S. HR Compliance Team is primarily a Non-Compliance Oversight Function, embedded within U.S. Human Resources with Regulatory Compliance Management (RCM) oversight accountability for labor & employment laws, rules, and regulations (LRRs) in the U.S. Sitting within the U.S. HR Compliance Team, the Governance & Control Specialist – Human Resources role provides subject‑matter expertise on U.S. labor and employment laws, rules, and regulations, the Bank's Regulatory Compliance Management Program, and serves as a key liaison between HR business stakeholders and enterprise compliance programs. This includes key activities such as, but not limited to: Leading Regulatory Compliance Management Program activities for an assigned portfolio of U.S. Human Resources risk owners or Regulatory Compliance Management Program area. Providing subject‑matter expertise on U.S. labor and employment laws, rules, and regulations and their application to HR policies, processes, and controls. Leading activities to support risk owners through the enterprise Regulatory Compliance Management lifecycle, including activities such as: regulatory change intake, applicability assessments, implementation, regulatory mapping, control identification & documentation, review & challenge, ongoing compliance monitoring, testing and oversight, etc. Supporting enterprise‑level compliance activities such as risk assessments, control effectiveness reviews, and management reporting, as assigned. The Governance & Control Specialist manages a portfolio of governance and control activities for moderately complex or high-risk business or functional area and implements policies/processes and/or initiatives to meet governance and control guidelines. Acts as a technical lead on key control initiatives.

Requirements

• Undergraduate degree preferred
• 7+ years of relevant experience
• Advanced business understanding and knowledge of risk and control functions
• Advanced knowledge of governance, risk and control procedures, strategies & tactics
• Knowledge of current and emerging competitor and market trends
• Ability to establish goals and objectives that support delivery execution for multiple teams
• Ability to contribute to the direction of the function and provide advice to the team and delivery leadership
• Ability to lead, plan, execute and evaluate project activities to ensure completion of initiatives
• Skill in mentoring, and performance management
• Skill in using analytical software tools, data analysis methods and reporting techniques
• Skill in using computer applications including MS Office and industry standards
• Ability to communicate effectively in both oral and written form
• Ability to work collaboratively and build relationships across teams and functions
• Ability to work successfully as a member of a team and drive team execution
• Ability to exercise sound judgement in making decisions
• Ability to analyze, organize and prioritize work while meeting multiple deadlines

Responsibilities

• Leading Regulatory Compliance Management Program activities for an assigned portfolio of U.S. Human Resources risk owners or Regulatory Compliance Management Program area.
• Providing subject‑matter expertise on U.S. labor and employment laws, rules, and regulations and their application to HR policies, processes, and controls.
• Leading activities to support risk owners through the enterprise Regulatory Compliance Management lifecycle, including activities such as: regulatory change intake, applicability assessments, implementation, regulatory mapping, control identification & documentation, review & challenge, ongoing compliance monitoring, testing and oversight, etc.
• Supporting enterprise‑level compliance activities such as risk assessments, control effectiveness reviews, and management reporting, as assigned.
• Manages a portfolio of governance and control activities for moderately complex or high-risk business or functional area and implements policies/processes and/or initiatives to meet governance and control guidelines.
• Acts as a technical lead on key control initiatives.
• Contributes to the strategic direction of the business governance and control function and plays a key role in the development and implementation of risk strategies in support of the overall business strategy
• Develops and documents a comprehensive inventory of processes and controls with clearly-defined owners and roles and responsibilities for each process and control
• Participates in the intake of applicable regulation, assessment of impact to the business line, and the comprehensive mapping of associated controls to rules and regulations
• Reviews end-to-end processes and controls and connects the dots across issues and control deficiencies across various BUs in order to increase standardization of solutions, processes and controls
• Leads the integrated execution of policies/procedures/changes across multiple functional areas
• Provides direction to complex, wide-ranging enterprise or cross-function/business projects as a SME, identifies risk/provides guidance for complex situations and participates in designing, testing, and implementation of solutions
• Acts as lead for area of specialization with industry, enterprise, and business awareness; recognizing and anticipating emerging trends and; identifying issues and opportunities and recommending action to senior management in the governance and control space
• Ensures programs/policies/practices are well-managed, meet business needs/priorities, and comply with internal/external requirements
• Exercises discretion in managing communication/correspondence, information and all matters of confidentiality
• Leads research projects; supports the development/delivery of materials and presentations to management or broader audience
• Conducts analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess the effectiveness of programs, policies, or practices
• Adheres to enterprise frameworks or methodologies that relate to activities across businesses and functions
• Manages relationships within and across various business lines, corporate and/or control functions and ensures alignment with enterprise and/or regulatory requirements
• Protects the interests of the organization – identifies and manages risks, and escalates non-standard, high-risk transactions/activities as necessary
• Maintains a culture of risk management and control, supported by processes in alignment with risk appetite
• Is knowledgeable of and complies with Bank Code of Conduct
• Participates as a member of the team, supports a positive work environment and ensures timely communication
• Provides leadership as a SME and participates in knowledge transfer within the team/business unit
• Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques
• Keeps others informed about the status/progress of projects
• Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices
• Contributes to a fair, positive and equitable environment
• Acts as a brand ambassador for your business area/function and the Bank

Benefits

• Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as 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, and reward and recognition.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level