Financial Controls Senior Manager/SOX ControlsTD Bank • Charlotte, NC, US
Financial Controls Senior Manager / SOX Controls
TD Bank • Charlotte, NC, US
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job_description.job_card.job_descriptionUndergraduate degree 10+ years of relevant experience Accounting or financial designation preferred People Management experience Minimum of 10 years of progressive experience in financial controls, internal audit, risk management, or governance within a large, complex organization ideally within the financial services or banking sector. Deep knowledge and experience of internal controls over financial reporting Strong understanding of SOX 404 and FDICIA regulatory requirements Experience designing, implementing, and evaluating control frameworks (e.g., Provides training, guidance, and support to process / control owners on SOX requirements and best practices. Drives continuous improvement in the bank's ICFR control environment through assessments and remediation tracking.) Develops and maintains good relationships with internal Finance business / specialized Finance partners and other stakeholders Effectively communicates relevant / meaningful recommendations on a range of finance management issues or related operational processes to all levels within the organization Ensures team collaboration with partners on business problems / issues and provides fact-based analytical advice that aligns to strategy and drives shareholder value Liaises and effectively interacts with internal / external auditors / regulators where applicable and ensures appropriate action is taken where required Acts as subject matter expert as practice resource lead for own area and provides guidance / advice and recommendations to support dealings with internal / external partners Contributes to the analysis, due diligence and execution of potential business restructures, acquisitions, joint ventures and / or divestitures within own area of responsibility and ensures appropriate Finance areas are involved where necessary Develops and / or assesses significant business cases / new initiatives applying expertise and ensuring criteria for own area are met (e.g., taxation, accounting practices, forecasted rates of return, evaluate outcomes, test assumptions, interface with others for appropriate input, identify benchmarks) Manages / coordinates client requests for finance support and / or reports, ensuring that solutions balance and address business partner needs with overall Finance capabilities Provides range of strategic support through teams assigned on portfolios / journeys, and provides relevant Finance insights / expertise and guidance to the program Participates on internal / external committees as appropriate to provide advice / counsel to business / finance partners and / or represent TD's interests Plans resources and executes on strategic practice related activities, reviews and communicates team results, and adjusts methodologies / curriculum accordingly Leads / supports the execution on the annual business plan to deliver results aligned with internal and / or partner business strategy Manages overall budget, revenue and expenditures, to help meet business objectives while increasing efficiency and effectiveness Leverages data systems and various sources to ensure team is equipped to formulate well defined solutions to solve business problems Proactively identifies key business opportunities, research and recommends enhancements / modifications, develops strategies to achieve recommendations and works closely with team to execute and implement Monitors and communicates the effectiveness of strategies, programs, and practices related to own area of expertise Protects the interests of the organization identifies and manages risks, and escalates non-standard, high risk transactions / activities as necessary Identifies / recommends / supports the facilitation and / or implementation of action / remediation plans to address performance / risk / governance issues Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts Maintains a culture of risk based management and control, supported by effective processes in alignment with risk appetite Ensures colleagues are knowledgeable; and assumes responsibility to minimize operational and regulatory risk by complying with Bank and industry Code of Conduct Cultivates and models the Colleague Promise to support colleague growth, and a culture of care; makes an impact at work and in our communities by leading with authenticity and supporting well being to represent TD's brand Connects the alignment of colleague's contributions with the TD Shared Commitments Builds and retains an engaged and diverse team that embraces diversity of thought, creativity and curiosity; where every colleague and customer are valued, respected, and listened to; committed to a common goal and collaborate to move with speed and get things done Demonstrates inclusive leadership by taking meaningful action with intention to support colleagues and customers across all dimensions of diversity, including those from underrepresented communities, being actively anti-racist, attracting and retaining diverse slate of candidates, nurturing mutual respect, inclusivity of thought and collaboration to drive successful results Sustains, identifies strong talent, recruits and develops a diverse talent pipeline of qualified workforce to innovate and maximize individual strengths to lead to a better business outcome Enables colleague growth by encouraging colleague development to achieve career and business objectives; ensuring timely feedback, motivating appreciation and recognition to all colleagues Enables a continuous learning culture by proactively seeking, listening to and actioning feedback from peers and from colleague listening opportunities to continuously improve the colleague experience and grow your personal leadership Fosters an environment that promotes sharing of knowledge, information, skills, and subject matter expertise among the team; ensures timely management and escalation of issues and create opportunities to collaborate with other functions and teams Leads your team through change and creates an environment where teams feel psychologically safe to challenge current practices by modeling resiliency and flexibility, communicating a compelling vision with clarity and empowering colleagues to drive innovation Contributes to the development of business segment and / or enterprise functional strategic priorities within their operational area or field of specialty that drive results Develops annual and / or long-term plans for own area that are aligned with enterprise-wide priorities, reinforcing a focus on results that align to One TD Fosters a high-performance culture by setting team targets and objectives, promoting and facilitating on-going feedback / coaching and conducting Quarterly Check-Ins for all colleagues to drive accountability and business results Manages employees in compliance with all human resources policies, procedures and guidelines of conduct Domestic Travel Occasional International Travel Never Performing sedentary work Continuous
Senior Group Manager Finance
The Senior Group Manager Finance oversees a team of Business Finance professional roles that provide strategic financial analysis, insights, decision support and / or reporting results and / or provide guidance and advice to various internal and external stakeholders.
The Financial Controls team is a newly established function within the AMCB Finance division, designed to strengthen AMCB's governance and control environment over financial reporting and operational processes. It aims to do so by building a Finance 1B function to Bank Standards and increasing collaboration, communication and support to 1A. Its primary objective is to proactively manage, monitor, and enhance the effectiveness of financial controls, ensuring accuracy, compliance, and risk mitigation across the bank's financial reporting and operations.
Depth & Scope :
- Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any / all disciplinary actions, as required
- Oversees a team of Finance professionals for key business segments or a significantly large part of the organization
- Requires in-depth shareholder and / or broad financial and business perspective
- Scope may include integration of activities and Finance support for several key business lines
- Focuses on longer-range issues dealing with and solving highly sensitive, confidential and / or multifaceted and complex financial management issues
- Primary interface and high level resource to Business leaders on financial performance measures / business objectives / goals
- Integrates knowledge of the enterprise function's or business segment's overarching strategy in leading program design, policy formulation or operating standards within one or more areas of expertise
- Anticipates emerging business trends and regulatory / risk issues as a basis for recommending large-scale product, technical, functional or operations improvements
Education & Experience :
Preferred :
Customer Accountabilities :
Shareholder Accountabilities :
Employee / Team Accountabilities :
Physical Requirements :
Never : 0%; Occasional : 1-33%; Frequent : 34-66%; Continuous : 67-100%
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