Td Bank Compliance Business Oversight Manager Canada, Ontario, Toronto 942727102
Job Description
Reporting to the Senior Manager, the Manager will support the Enterprise Compliance Program, including Regulatory Inventory and Regulatory Change program, technology, and processes.
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 review of large data sets and leverage business intelligence tools to drive analysis and insight
Perform ongoing execution of the MERLIN Regulatory Inventory feeds and manual process for sustainability of the Regulatory Inventory.
Establish strong working relationship with TD Technology team and third-party data provider vendor to collaborate on activities to ensure that MERLIN Regulatory Inventory is accurate
Establish strong relationships with Regulatory Change Leads and Oversight Functions, acting as a primary contact for updates to TD's the Regulatory Inventory.
Perform oversight and reconciliation against regulatory inventory for manual intake items, and execution of manual updates to inventory.
Monitor and report on compliance with the RCM Regulatory Change Standard
Identify and propose improvements to the process, opportunities to automate and streamline, and participate in improvements implementation
Department Overview
As part of the Global Regulatory Change and Inventory Governance (GRCIG), the team provides day-to-day support to MERLIN Regulatory Inventory and Regulatory Change. As a second line of defense, GRCIG Team is responsible for the oversight and monitoring of TD Regulatory Inventory and Regulatory Change 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 Change and RCM Global Regulatory Inventory & Control Standard. The role of GRCIG Manger is to:
Provide oversight of Regulatory Inventory changes to drive consistency.
Develop and communicate enterprise governance and control related to TD's Regulatory Inventory.
Oversee and report issues associated with the Regulatory Inventory and the automated regulatory feeds.
Develop and deliver specialized/ad hoc training, as required.
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 with coordination of processes involving multiple groups and stakeholders, ensuring that activities are completed timely and efficiently
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
Additional Information
7+ years relevant experience
Strong technical background
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.
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.
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.
משרות נוספות שיכולות לעניין אותך
