Compliance Business Oversight Manager

3 weeks ago

Toronto, Canada TD Bank Full time

411351BR

Anti-Money Laundering / Compliance & Regulatory Relations

Toronto, ON

June 9, 2023

Company Overview

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 Library Governance, the team provides day-to-day support to various areas Oversight Functions. As a second line of defense, Global Regulatory Change and Library Governance Team is responsible for the oversight and monitoring of TD Regulatory Library and Regulatory Feeds; driving a consistent, adaptable and effective process across the organization. The role of Global Regulatory Change and Library Governance Manger is to:

- Provide oversight and monitoring of the Regulatory Library and Regulatory Change Management.
- Develop and communicate enterprise governance and control related to TD’s regulatory inventory and regulatory change.
- Oversee and report issues associated with the inventories and regulatory change feeds.
- Develop and deliver specialized/ad hoc training, as required.

**Job Description**:

- Reporting to the Senior Manager, the Manager will support the Enterprise Compliance Program, including Regulatory Library and Regulatory Change program, technology and processes. The incumbent will work with Oversight Functions and Risk Owners 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 MERLIN Regulatory Library/Feed and the Regulatory Change Management Feed with Oversight Functions Regulatory Change Leads.
- Facilitate enterprise-wide oversight and governance of the global regulatory library process, ensuring that all Law, Rules and Regulation mapping is complete or adequate rationale is provided if incomplete.
- Perform reconciliation against regulatory library for manual intake items, and execution of manual updates to library.
- Provide oversight to ensure Key Controls are implemented correctly and occurring effectively.
- Support the Oversight Functions Executive in attesting to the completeness and accuracy of the regulatory library on a periodic basis.
- Monitor and report on compliance with the Standard
- Perform review and challenge of Oversight Functions Regulatory Change Management procedure for alignment against the Standard
- Establish strong relationships with Regulatory Change Leads acting as a primary contact for TD’s centralized inventory for law, rules and regulations and the regulatory change workflow.

**Requirements**:

- Knowledge of relevant legislation, regulations, and industry standards, as it applies to privacy, banking, payments, wealth management and insurance
- 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 Corporate Office Areas
- Professional experience in a governance related field (e.g. Compliance, Risk Management, AML, Legal, Audit)

Additional Information

Undergraduate degree

Hours

37.5

Inclusiveness

At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live and serve. If you require an accommodation for the recruitment/interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.

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