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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in quality assurance oversight, compliance program management, and regulatory adherence within financial institutions. Proficient in strategic guidance, process improvement, and effective communication to enhance operational processes and governance.
Highest-signal resume keywords
Quality Assurance OversightCompliance Program ManagementRegulatory Requirements KnowledgePolicy Advisory ExpertiseProject Management
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Quality AssuranceRegulatory ComplianceRisk ManagementChange ManagementOperations ManagementTrend ReportingDocumentation CreationAudit ParticipationProcess ImprovementData Analysis
Soft Skills
Strategic Critical-ThinkingClear CommunicationInterpersonal SkillsCoaching and GuidanceIntegrity
Tools & Technologies
MS Office SuiteExcelPowerPoint
Certifications & Qualifications
CRCM
Industry Keywords
Financial Institution RegulationsComplaint Compliance ProgramsGovernance ProcessesHigh-Risk Complaint ReviewInternal Audits
About the role
Key responsibilities & impact- Provide independent quality assurance oversight of high-risk complaint reviews across TD Bank US
- Execute quality assurance assessments evaluating adherence to policies, standards, procedures, and regulatory expectations
- Conduct quality assurance reviews and peer reviews
- Identify opportunities to strengthen review quality, consistency, and effectiveness
- Provide strategic guidance to enhance the high-risk complaint review framework, governance, and operational processes
- Deliver insights and recommendations through trend reporting and feedback templates
- Drive continuous process improvement and promote adherence to internal and regulatory requirements
- Support creation of documentation and reports for external regulators and internal TD groups
- Lead development of team procedures and governance processes
- Advise Compliance stakeholders on changes and enhancements to enterprise Compliance programs
- Manage policy and training exemption governance and reporting processes
- Assist with Issues and Events system tracking and reporting
- Prepare summaries, presentations, briefing notes, and other program-status documentation
- Represent Compliance Governance & Operations on committees and regulatory change management initiatives
- Provide Compliance subject-matter expertise and advice to business partners
- Research, analyze, and assess Compliance program activities
- Participate in or manage regulatory examinations and internal/external audits
- Monitor service and productivity and implement continuous process improvements
- Lead or facilitate remediation plans for performance, risk, and governance issues
- Manage relationships across business lines and control functions
- Track emerging issues, trends, and regulatory requirements
- Support team knowledge transfer, training, coaching, and guidance
Requirements
What you’ll need- Undergraduate degree or equivalent work experience
- 7+ years of experience
- 8+ years of quality assurance or related experience
- CRCM or equivalent a plus
- Knowledge of financial institution laws/regulations, strategies, and risk management/complaint compliance programs
- Expertise in policy advisory, change management, project management, and operations
- Proficiency with computer applications including MS Office suite, especially Excel and PowerPoint
- High personal and professional integrity and standards
- Strategic critical-thinking and sound judgment
- Ability to deliver objectives and work across silos
- Clear and concise verbal and written communication skills
- Occasional domestic travel; no international travel
Benefits
Comp & perks- Base salary and variable compensation/incentive awards, including eligibility for cash and/or equity incentive awards
- 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
- Reward and recognition
- Regular development conversations with manager
- Training programs
- Online learning platform
- Mentoring programs
- Training and onboarding sessions