Regulatory, Audit and Issues Management Manager

Description

KEY ACCOUNTABILITIES

CUSTOMER

Contribute to the strategic direction of the business governance and control function and play a key role in the development and implementation of risk strategies in support of the overall business strategy

Develop and document a comprehensive inventory of processes and controls with clearly defined owners and roles and responsibilities for each process and control

Participate in the intake of applicable regulation, assessment of impact to the business line, and the comprehensive mapping of associated controls to rules and regulations.

Review end-to-end processes and controls and connect the dots across issues and control deficiencies across various BUs in order to increase standardization of solutions, processes and controls

Lead the integrated execution of policies / procedures / changes across multiple functional areas

Provide direction to complex, wide ranging enterprise or cross-function / business projects as a SME, identify risk / provide guidance for complex situations and participate in designing, testing, and implementation of solutions

Act 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

SHAREHOLDER

Ensure programs / policies / practices are well managed, meets business needs / priorities, and complies with internal / external requirements

Exercise discretion in managing communication / correspondence, information and all matters of confidentiality

Lead research projects; support the development / delivery of materials and presentations to management or broader audience

Conduct analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess the effectiveness of programs, policies, or practices

Adhere to enterprise frameworks or methodologies that relate to activities across businesses and functions

Manage relationships within and across various business lines, corporate and / or control functions and ensure alignment with enterprise and / or regulatory requirements

Protect the interests of the organization identify and manage risks, and escalate non-standard, high risk transactions / activities as necessary

Maintain a culture of risk management and control, supported by processes in alignment with risk appetite

Be knowledgeable of and comply with Bank Code of Conduct

EMPLOYEE / TEAM

Participate as a member of the team, support a positive work environment and ensure timely communication

Provide leadership as a SME and participate in knowledge transfer within the team / business unit

Keep current on emerging trends / developments and grow knowledge of the business, related tools and techniques

Keep others informed about the status / progress of projects

Contribute to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices.

Contribute to a fair, positive and equitable environment

Act as a brand ambassador for your business area / function and the bank

BREADTH & DEPTH

Highly seasoned professional role requiring substantial business knowledge / expertise in a complex field and knowledge of broader related areas

Integrates knowledge of the enterprise sub-function’s or business line’s overarching strategy in developing solutions across multiple functions or operations

Ability to work collaboratively and build relationships across teams and functions

Interprets internal / external business challenges and the industry environment, recommends course of action and best practices to improve products, processes or services

Acts as a technical expert / lead integrating cross-function understanding within their own field of specialty; may manage team(s) of related specialists

Leads cross-functional teams or projects with significant resource requirements, risk and / or complexity

Independently manages end-to-end functional programs

Solves or may lead others to solve complex problems; leads efforts or partners with others to develop new solutions

Works autonomously as the lead and guides others within area of expertise

Generally reports to a Senior Manager or above

EXPERIENCE & EDUCATION

Undergraduate degree preferred

Advanced business understanding and knowledge of risk and control functions

7+ years of relevant experience

Role of Regulatory, Audit & Issues Management Resources

Lead review and coordination of exam management activities (i.e., second line, Audit and regulatory exams)

Responsible for managing remediation of findings, issues and observations

Partner with forward-deployed Business Segment Relationship Management leads, VMOs and other TPRO COEs

All TPRO Resources

Enable, oversee and support the 1st line of defense for third party activities with the following core capabilities :

Enhancing the culture and awareness of proactively managing and mitigating Third Party Risk

Performing support and effective 1B challenge of Third Party Risk activities

Driving change initiatives in the Third Party space on behalf of the businesses and corporate areas

Act as a Liaison with 2nd line, 3rd line and Regulators on behalf of the 1st line

Who We Are :

TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches / stores.

Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world.

More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support.

We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing.

As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking.

Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential.

Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals.

As an organization, we keep growing and so will you.

Our Total Rewards Package

Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical, and mental well-being goals.

Total Rewards at TD includes a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs.

Additional Information :

We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development

If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.

Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD and we’re committed to helping you identify opportunities that support your goals.

Training & Onboarding

We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process

We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation

Your accessibility is important to us. Please let us know if you’d like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.

to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you!

Language Requirement :

N / A.