Compliance Business Oversight Manager, Global Regulatory Inventory (5038)

Work Location:

Toronto Ontario Canada

Hours:

37.5

Line of Business:

Compliance

Pay Details:

$96900 - $136800 CAD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidates skills and experience job-related knowledge geographic location and other specific business and organizational needs.

As a candidate you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

Department Overview

The Global Compliance Department is responsible for overseeing Regulatory Compliance across TDBG in accordance with the Global Compliance Department Mandate Framework and Standards. This includes independently assessing the adequacy adherence and effectiveness of regulatory compliance management programs and controls in the business. The department also delivers objective guidance and independent challenge to the business proactively managing regulatory change and providing trusted and reliable reporting advice and opinion to senior leadership and the Board on the state of regulatory compliance risks controls and outcomes.

As part of the Global Regulatory Change and Inventory Governance (GRICG) the team provides day-to-day support to MERLIN Regulatory Inventory. As a second line of defense GRICG Team is responsible for the oversight and monitoring of TD Regulatory Inventory Feeds; governing the processes to support the reasonable accuracy and completeness of the Regulatory Inventory; driving a consistent adaptable and effective program across Oversight Functions and Risk Owners; overseeing adherence to the RCM Regulatory Inventory & Control Standard.

Job Description

Reporting to the Senior Manager Global Regulatory Change & Library Governance the Compliance Business Oversight Manager will provide oversight advisory and execution support for the Global Regulatory Inventory Governance program including associated technology data and processes. The role provides independent challenge and guidance to ensure the accuracy completeness and ongoing effectiveness of the Regulatory Inventory in alignment with the RCM Regulatory Inventory & Control Standard.

The main focus of the role will be the facilitation of enterprise-wide oversight and governance of the global regulatory inventory process ensuring that all Laws Rules and Regulations (LRRs) are reasonably accurate and complete. To that end the incumbent will work with Oversight Functions (designated Regulatory Compliance Management accountability for areas of LRRs and Risk Owners (own and operate controls to mitigate LRR risk) across TD.

This is an exciting opportunity for individuals with expertise in the field of governance risk and controls. Specific accountabilities include the following:

• Perform ongoing execution of the Regulatory Inventory feeds and manual process to support sustainability of the Regulatory Inventory while assessing and providing oversight on process effectiveness data quality and control adherence.

• Establish and influence relationships with TD Technology partners and third-party data provider to ensure data integrity timely issue resolution and continuous improvement of Regulatory Inventory feeds.

• Influence and collaborate with Regulatory Change Leads and Oversight Functions and Risk Owners acting as a primary contact for inventory updates and providing guidance and challenge on adherence to regulatory inventory standards and expectations.

• Perform oversight and reconciliation of regulatory inventory data including manual intake processes and updates identifying assessing and escalating data quality control and governance risk.

• Perform analysis of large datasets using business intelligence tools to generate insights including enterprise-level trend analysis of inventory completeness issues and control effectiveness to support management decision-making.

• Monitor assess and report on adherence to the RCM Regulatory Inventory and Control Standard providing independent challenge and advisory support to stakeholders to address gaps and improve compliance.

• Identify and drive improvements to the process including opportunities to automate and streamline contributing to the ongoing maturity and sustainability of the Regulatory Inventory governance program.

• Oversee track and and report issues associated with the Regulatory Inventory and Third-Party automated regulatory feeds ensuring timely escalation and resolution of high-risk or systemic issues.

• Develop and deliver targeted training and guidance materials acting as a subject matter expert in Regulatory Inventory governance processes and standards.

• Support responses to Internal Audit Compliance Quality Assurance and regulatory reviews including remediation tracking and demonstrating control effectiveness.

• Develop and deliver management reporting including presentations and briefing materials for senior leadership on Regulatory Inventory health risks and remediation process.

Job Requirements

• Good understanding of Compliance processes and regulatory environment including how various LRRs may be structured and Oversight Functions with RCM accountability

• Knowledge of relevant legislation regulations and industry standards as it applies to Banking Securities Insurance Prudential Finance HR etc.

• Experience providing advisory support and independent challenge within a risk or compliance function

• Experience identifying assessing and escalating risks and control gaps

• Experience preparing management reporting and communicating insights to senior stakeholders

• Strong understanding of regulatory governance frameworks (e.g. RCM)

• Experience with coordination of processes involving multiple groups and stakeholders ensuring that activities are completed timely and efficiently

• Experience analyzing large data sets and leveraging business intelligence tools to drive analysis and insights

• Experience with implementation of process improvements understanding of technology implementation lifecycle ability to articulate business requirement for Technology

• Strong analytical and problem-solving skills with strong attention to detail to drive problem framing and solutioning

• Able to breakdown and describe technical concepts in business terms and frame questions in the correct context for the audience

• Ability to work independently think critically and make decisions

• Ability to manage high volumes of work in a fast-paced environment and manage multiple priorities

• Highly organized and flexible in prioritizing various work demands

• Able to work collaboratively and as part of a team

• Ability to influence people and deal with conflicting points of view

• Ability to deal with all levels of staff within the enterprise

• Strong verbal and written communication skills

• Well-developed organizational awareness and business acumen

• Strong relationship management skills

• Able to accept and manage conflicting points of view and work collaboratively

• Ability to think out of the box to effect creative and responsive solutions

Additional Information

• University degree required; background in business risks compliance or data analytics preferred. Advanced degree (e.g. JD or LLB) is considered an asset but not required.

• Relevant professional designations and/or certifications as required

• 7 years relevant experience

Who We Are:

TD is one of the worlds leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day we strive to make every interaction product and experience remarkably human and refreshingly simple for over 27 million households and businesses in Canada the United States and around the world. More than 95000 TD colleagues bring their skills talent and creativity to foster deeper relationships ensure disciplined execution and build a simpler faster banking experience. TD is deeply committed to being a leader in client experience that is why we believe that all colleagues no matter where they work are client facing. Together we are reimagining what banking can be for our clients colleagues and communities.

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. Learn more

Additional Information:
Were delighted that youre considering building a career with TD. Through regular development conversations training programs and a competitive benefits plan were committed to providing the support our colleagues need to thrive both at work and at home.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations requirements.

Colleague Development

If youre interested in a specific career path or are looking to build certain skills we want to help you succeed. Youll 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.

If youre passionate about helping clients and building deep lasting relationships TD offers diverse career paths where you can grow your expertise and make a meaningful impact.

Were committed to your success and foster a respectful workplace where diverse perspectives are valued everyone has fair opportunities to grow and you can unlock your full potential to achieve your career goals. Here at TD we hire and develop the best.

Training & Onboarding
We will provide training and onboarding sessions to ensure that youve got everything you need to succeed in your new role.

Interview Process
Well 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 youd 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 (Quebec only):

Sans Objet

Required Experience:

Manager

Employment Type : Full-Time
Experience: years
Vacancy: 1
Monthly Salary Salary: 96900 - 136800