Executive - Regulatory Affairs

1 month ago

Old Toronto, Canada TD Full time

Lieu de travail: Canada

Horaire: 37.5

Secteur d’activité: Conformité

Description du poste:

Department Overview:
The Global Compliance Department is responsible for overseeing regulatory compliance across TDBG in accordance with the Global Compliance Operating Framework. The team is accountable for promoting regulatory compliance by developing and maintaining compliance programs, including identifying and disseminating regulatory developments to businesses they support, maintaining Compliance policies, managing complaints and regulatory filings, providing relevant training, carrying out independent monitoring and oversight activities, reporting on the state of compliance to the Board, UDP and senior management, as needed, and providing advice and support, as required.

Job Details:
The AVP, Compliance, Regulatory Change role reports to the TDBG VP, Compliance, Transformation.

Individual Accountabilities:
• Oversee / lead the team responsible for the oversight and adherence to the Regulatory Change Management Standard and responsibility for related reporting.
• Provide executive leadership to drive efficiency and effectiveness improvements in oversight and governance activities in connection with the global regulatory inventory maintenance and regulatory change processes to align with regulatory expectations and industry best practices.
• Own evolution / enhancement of the regulatory change management program leveraging technology enablement and automation, and processes to align with the growth and size of the Bank.
• Plan and lead the annual attestation process for the global regulatory inventory in connection with the RCM Risk Assessment.
• Act as a subject matter expert on the Regulatory Compliance Management Framework and Regulatory Change Management Standard and supporting procedures and processes.
• Provide leadership to CSET members in delivering the Road to Strong Program for Global Compliance, leading regulatory Change Management workstreams as needed.
• Identify key gaps in the execution of the Regulatory Change Management Standard and recommends possible methodology improvement and training opportunities.
• Develop and maintain robust relationships with Senior Oversight Functions and Risk Owners across TD to support consistency of execution and maturity of the RCM Program, working in coordination with relevant teams.
• Foster a culture receptive to innovation and change within the compliance team, promoting adaptability and forward-thinking.
• Keep current on emerging risks, trends and evolving regulatory requirements for Compliance.

Key Shared Accountabilities:
• Set "tone at the top" in support of a strong risk & compliance culture within Compliance and across the enterprise.
• With business and other Risk partners promote a strong governance & control environment with periodic assessments against industry practices.
• With Risk, ensure that the Bank operates within the compliance risk appetite and that operational risk from a Compliance standpoint is being effectively mitigated, assessed, and managed.
• Builds positive, diverse, and open work environment by continually improving the efficiency, sharing deep knowledge and skills, and encouraging the team to deliver results.
• Attracts, develops, retains talent, and maintains an active talent pipeline.

Job Requirements:
• University degree required: Post Graduate degree preferred.
• 10+ years of relevant industry and management experience.
• Familiarity with regulations and compliance strategies and risk management; possesses and demonstrates expertise in the advisory, policy, change management, project management and operations.
• Highest personal and professional integrity and standards to advance TD's vision and protect the brand.
• Strong verbal and written communication skills, including public speaking/presentation skills and well developed listening and negotiation skills.
• Ability to work in a fast-paced environment and manage multiple priorities.
• People leadership and management experience focused on talent development and coaching to nurture a high performing team.
• Ability to operate in an evolving, sometimes ambiguous, matrixed environment.
• Strategic thinker; has excellent judgment, achieves the right risk/reward balance.
• Demonstrates ability delivering on objectives, focuses on what matters and can work across silos to build effective working relationships.
• Transparent communicator and respected TD representative, both internally and externally.
• Models TD's executive leadership profile: skilled leader, high confidence, low ego, inspiring to professionals, operates through influence, motivates and develops leadership teams.
• Advances TD's leadership development, colleague experience & diversity agenda.
• Possesses an advanced level of financial and strategic acumen to provide insight on strategy development and execute effectively on a broad range of key business management activities.
• Strong relationship building and negotiation skills and the ability to interact with sensitivity and leadership to advance and influence the culture Compliance aims to promote.
• Demonstrates strong problem solving & analytical skills, including the ability to comprehend a situation by breaking it down into its components and identifying underlying issues.
• Expertise in working effectively in ambiguity with all levels of colleagues and executives to enhance the colleague experience.
• Exhibits confident presentation and facilitation skills and strong interpersonal and leadership skills to facilitate working with business and senior management at all levels.

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