Information Security Specialist - Regulatory Examination Management Lead

Description

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Position Overview

The Regulatory Exam Management Lead is responsible for the end-to-end coordination and execution of regulatory examinations, supervisory reviews, and ongoing regulatory engagements impacting Technology and related business functions. This role serves as the central point of coordination between Regulatory Program Management (RPM), executives, business stakeholders, compliance partners, and subject matter experts to ensure examinations are managed effectively and regulatory commitments are delivered accurately, completely, and on time.

The successful candidate will drive exam readiness activities, manage regulator requests for information (RFIs), coordinate formal regulator meetings, oversee executive communications, and provide leadership throughout the examination lifecycle—from preparation and fieldwork through supervisory letters, findings management, and closure activities.

Job Details - What You’ll Do

Regulatory Exam Management

• Lead the end-to-end management of regulatory examinations, supervisory reviews, deep dives, and targeted assessments.

• Serve as the primary point of contact for Technology-related regulatory engagements.

• Coordinate regulator Information Requests (IRs), Additional Requests (ARs), and ongoing inquiries.

• Develop and execute examination strategies, timelines, and stakeholder engagement plans.

• Track milestones, deliverables, dependencies, risks, and escalations throughout the examination lifecycle.

• Ensure responses are complete, accurate, defensible, and submitted within regulatory timelines. Exam Readiness & Stakeholder Coordination

• Lead readiness activities in advance of regulatory examinations to identify key stakeholders, potential risk areas, and anticipated lines of inquiry.

• Coordinate working sessions, preparedness reviews, and executive briefing meetings.

• Facilitate collaboration across Technology, Risk, Compliance, Legal, Audit, and business partners.

• Build strong relationships with senior executives and regulators to support successful examination outcomes.

Regulatory Responses & Quality Assurance

• Coordinate collection, review, and submission of regulatory artifacts and supporting evidence.

• Ensure appropriate governance, quality assurance, redaction, and approval processes are followed.

• Challenge responses where necessary to improve accuracy, completeness, and regulatory defensibility.

• Maintain organized documentation repositories and audit trails supporting regulatory submissions.

Formal Regulator Engagements

• Coordinate examination kickoffs, status meetings, deep dives, onsite sessions, and exit meetings.

• Facilitate the preparation of agendas, presentation materials, briefing documents, and speaking notes.

• Conduct stakeholder preparation sessions and executive dry runs.

• Capture meeting outcomes, commitments, action items, and examiner feedback.

• Reporting & Executive Communications

• Develop executive-level status reporting and examination dashboards.

• Prepare concise updates highlighting progress, key decisions, emerging risks, and outstanding actions.

• Escalate issues that could impact submission timelines, examination outcomes, or regulatory commitments.

• Provide regular reporting to senior leadership and governance forums.

Findings & Remediation Oversight

• Support management responses to regulatory findings and recommendations.

• Coordinate remediation planning, ownership assignment, milestone tracking, and governance reviews.

• Monitor progress and ensure timely closure of regulatory commitments.

• Partner with Risk, Compliance, Audit, and business stakeholders to validate remediation activities.

Where You’ll Work

Primarily On-Site

Job Requirements - What You Need to Succeed

• University degree

• 7+ years of experience in regulatory affairs, regulatory exam management, risk management, compliance, audit, cybersecurity, technology governance, or operational risk.

• Demonstrated experience leading regulatory examinations involving federal or international regulators.

• Strong understanding of regulatory supervision, examination methodologies, and governance frameworks.

• Exceptional stakeholder management and executive communication skills.

• Proven ability to manage multiple concurrent examinations and complex cross-functional initiatives.

• Strong project and program management skills with experience managing competing priorities and deadlines.

• Professional certifications such as PMP, CISA, CRISC, CISSP, CGRC, or equivalent.

Other Skills & Assets

• Experience supporting regulatory engagements with banking regulators (e.g., OCC, FRB, FDIC, CFPB, OSFI, PRA, MAS, APRA, or equivalent).

• Experience within financial services, banking, technology risk, cybersecurity, or operational resilience.

• Experience preparing executive-level presentations, briefing materials, and regulatory submissions.

This position offers a unique opportunity to lead high-profile regulatory engagements while partnering with senior leaders across technology, risk, compliance, audit, and business functions to strengthen regulatory readiness and governance.

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 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 95,000 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.

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.

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 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.

If you’re 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.

We're 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 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 (Quebec only):

Sans Objet