JOB DESCRIPTION

Reporting to the Senior Manager, the Compliance Business Oversight Manager will support the Enterprise Compliance Regulatory Change Program, including governance, oversight, technology, and processes. The incumbent will work with Oversight Functions and Risk Owners across TD.
The main focus of the role will be the facilitation of enterprise-wide oversight and governance of the global regulatory change process, ensuring that monitoring of changes is being performed in alignment to the RCM Regulatory Change Standard. To that end, the incumbent will work with Oversight Functions (designated Regulatory Change Leads accountable for areas of laws, rules, and regulations (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 a leadership role in the ongoing execution of the Regulatory Change Management process
• Act as a subject matter expert and provide objective guidance, review, and support regulatory change activities
• Establish strong relationships with Regulatory Change Leads acting as a primary contact for the regulatory change
• Perform reviews of large data sets and leverage business intelligence tools to drive analysis and insight, monitor, and report on compliance with the RCM Regulatory Change Standard
• Facilitate the onboarding to the Central Regulatory Change Tracker and other applications used for regulatory change identification, assessment, and implementation activities
• Establish strong working relationship with TD Technology team and third-party data provider vendor to collaborate on activities for regulatory change data feeds
• Facilitate enterprise-wide oversight and governance and support the global regulatory library process, ensuring that all Law, Rules and Regulation is complete
• Identify and propose improvements to the process, opportunities to automate and streamline, and participate in improvements implementation
• Support testing engagements from Internal Audit, Compliance Quality Assurance, and others

JOB REQUIREMENTS

• Good understanding of Compliance processes and regulatory environment, including monitoring 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 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 attending 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 collaborative 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
• Professional experience in a governance related field (e.g. Compliance, Risk Management, AML, Legal, Audit)

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.

• Provide oversight of regulatory change activities to drive consistency.
• Develop and communicate enterprise governance and control requirements and expectations.
• Oversee and report issues associated with the regulatory change process.
• Develop and deliver specialized/ad hoc training and reporting, as required