Specialist, Regulatory and Audit Interactions

3 days ago

Toronto, Canada TD Bank Full time

**TD Description**

Stay current and competitive. Carve out a career for yourself. Grow with us.

**Department Overview**

The independent Operational Risk Management (ORM) team works in partnership with the business units and corporate groups of TD Bank Group to further the understanding and management of operational risk across the enterprise.

The ORM ETech Specialist, Regulatory and Audit Interactions will manage ORM ETech regulatory and audit interactions. The role partners with key second line stakeholders across ORM ETech and the Enterprise to provide direction and guidance related to examinations and audits ensuring awareness and mitigation of potential areas of risk. The Specialist has key accountability as the owner and organizer of regulatory activity across ORM ETech and responsible for managing, coordinating, communicating and tracking exam and audit calendars.

Reporting to the Senior Regulatory Manager this role will have the following accountabilities:

- Support regulatory activities across ORM ETech domains in Canada, US, and Internationally
- Interface with ORM ETech executives and senior management, preparing materials for socialization and providing guidance and advice related to regulatory activities and for facilitating awareness and mitigation of potential areas of risk
- Support implementation, and operationalization of the Stakeholder Engagement Model related to regulatory and audits interactions; manage interactions with entire ORM ETech organization, and liaise with other first and third Lines of Defense stakeholders
- Manage examination and audit calendars and own preparedness via readiness assessments, ultimately leading to positive exam and audit outcomes
- Provides expert oversight of exam and audit activities such as the preparation, collection and quality assurance of documentation and artifacts for appropriateness, completion of Regulatory request activities by engaging with key stakeholders, managing alignment with other key stakeholders and first line of defense, and leading and coordinating of exam prep meetings and exam meetings as appropriate
- Management of quarterly and other regulatory meetings across jurisdictions
- Track and report on all regulatory and internal audit activities including exam and finding remediation activities
- Support operational reports for regulatory program quarterly updates

**Job Requirements**
- Possesses detailed knowledge of financial industry regulatory environment and requirements, and risk management practices and the banking industry
- Technical operational risk management knowledge
- Demonstrated ability to own and lead, providing leadership and direction by setting context, defining requirements and accountabilities, tasks and assignments across stakeholders during exams and audit activities
- Skillful communicator and influencer to build relationships, advance decision making, and effect change over time
- Demonstrated ability to digest complex information and summarize in a clear, concise fashion (for executive-level consumption) with excellent documentation and presentation creation ability
- Effective communication, negotiation, and conflict management skills
- In-depth knowledge of technology and cyber risk and related risk management requirements and legislative/ regulatory directives and guidance with relates to operational & regulatory compliance risk management
- Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts
- Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite
- Energetic, enthusiastic, pro-active self-starter - willing to “roll up the sleeves” to deliver results in the short-term while building for the long-term; agile, adaptable, 'can-do' attitude, high degree of responsiveness and initiative
- Previous experience of interaction with regulators preferred
- Ability to operate effectively in a matrix environment

**Additional Information**
- Seven or more years of relevant experience
- Undergraduate degree in a related discipline

**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.

**Job Family**
- Group Risk Management

**Job Category - Primary**
- Risk Management

**Job Category(s)**
- Risk Management

**Hours**
- 37.5

**Business Line**
- Corporate

**Time Type**
- Full Time

**Employment Type**
- Regular

**Country**
- Canada

**Province/State (Primary)**
- Ontario

**City (Primary)**
- Toronto

**Work Location**
- TD Cent

  • Associate Director, Audit

    4 weeks ago

    Toronto, Canada BMO Financial Group Full time

    250 Yonge Street Toronto Ontario,M5B 2L7 Supports the business/group leader in the effective implementation, maintenance and administration of first line of defense (1st LOD) programs (e.g., operational risk, AML, compliance, regulatory, etc.), including overseeing business operations within the jurisdiction to ensure adherence and efficiency. Contributes...

  • AVP, Audit, Regulatory Compliance Management Oversight

    3 weeks ago

    Old Toronto, Canada The Toronto-Dominion Bank (Canada) Full time

    p>AVP, Audit, Regulatory Compliance Management OversightAVP, Audit, Regulatory Compliance Management OversightWork Location: Toronto, Ontario, CanadaHours: 37.5Line of Business: AuditPay Details: N/A - N/A CADTD is committed to providing fair and equitable compensation opportunities to all colleagues. p>Job Description:Department Overview:Our team of trusted...

  • Manager, Regulatory Compliance Audit

    2 weeks ago

    Toronto, Canada Royal Bank of Canada Full time

    **Job Summary** The Manager, Regulatory Compliance Audit is a curious, dynamic, adaptable, solution-oriented leader and self-starter. **What is the opportunity?** The Manager, Regulatory Compliance Audit is a curious, dynamic, adaptable, solution-oriented leader and self-starter. **What will you do?** - Participate in the execution of risk-based...

  • Regulatory Compliance Audit Manager

    4 days ago

    Toronto, Ontario, Canada Royal Bank of Canada Full time

    We are seeking a highly skilled Regulatory Compliance Audit Manager to join our team at Royal Bank of Canada. This role is based in Toronto, Canada and offers a competitive salary range of $125,000 - $160,000 per year.About the RoleThe successful candidate will be responsible for leading enterprise-level audit assurance projects, developing continuous...

  • Technology Audit

    2 days ago

    Toronto, Canada BMO Financial Group Full time

    VIRTUAL59 - HomeRes - ON - BMO XXXXX Ontario,X0X 0X0 Under the direction of the Director - Audit and Regulatory Interactions, the Technology Audit Specialist supports and coordinates the Technology first line audit activities. The role is responsible for ensuring the appropriate control frameworks and stakeholder engagement models are established to...

  • Avp, Audit, Regulatory Compliance Management

    3 months ago

    Toronto, Canada TD Bank Full time

    **Work Location**: Canada **Hours**: 37.5 **Line of Business**: Audit **Pay Details**: **Department Overview**: **Our team of trusted audit professionals interact with every part of the Bank to provide strategic guidance and independent oversight. Through due diligence, and with a strong sense of integrity, we help mitigate potential risks to our...

  • Vp Audit

    3 days ago

    Toronto, Canada TD Bank Full time

    **TD Description** Stay current and competitive. Carve out a career for yourself. Grow with us. **Department Overview** **Job Description - VP Audit, Compliance, AML, Legal, Privacy, Fraud Risk & Regulatory Management** **Department Overview**: - Our team of trusted Internal Audit professionals act as the Bank's third line of defense. We provide...

  • Senior IT Audit Specialist

    4 weeks ago

    Toronto, Ontario, Canada Bank of Montreal Full time

    Conducting In-Depth IT Audits and Risk AssessmentsWe are seeking a highly skilled Senior IT Audit Specialist to join our team. As an integral part of our audit function, you will be responsible for conducting in-depth IT audits and risk assessments to ensure the Bank's technology infrastructure is secure and compliant with regulatory requirements.About the...

  • Audit Manager, Regulatory Validation

    7 months ago

    Toronto, Canada CIBC Full time

    We’re building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what’s right for our clients. At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our team members have what they need to make a meaningful impact and are truly valued for who they are...

  • Audit Manager, Regulatory Validation

    2 months ago

    Toronto, Canada CIBC Full time

    We’re building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what’s right for our clients. At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our team members have what they need to make a meaningful impact and are truly valued for who they are...

  • Audit Manager Ii, Global Compliance Audit

    6 months ago

    Toronto, Canada TD Bank Full time

    **Work Location**: Toronto, Ontario, Canada **Hours**: 37.5 **Line of Business**: Audit **Pay Details**: **Department Overview**: **Our team of trusted audit professionals interact with every part of the Bank to provide strategic guidance and independent oversight. Through due diligence, and with a strong sense of integrity, we help mitigate potential...

  • Audit Manager Ii, Global Compliance Audit

    3 months ago

    Toronto, Canada TD Bank Full time

    **Work Location**: Canada **Hours**: 37.5 **Line of Business**: Audit **Pay Details**: **Department Overview**: **Our team of trusted audit professionals interact with every part of the Bank to provide strategic guidance and independent oversight. Through due diligence, and with a strong sense of integrity, we help mitigate potential risks to our...

  • Audit Manager

    7 months ago

    Toronto, Canada CIBC Full time

    We’re building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what’s right for our clients. At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our team members have what they need to make a meaningful impact and are truly valued for who they are...

  • Audit and Regulatory Governance Expert

    3 weeks ago

    Old Toronto, Canada Bank of Montreal Full time

    About the RoleWe are seeking a highly skilled Audit and Regulatory Governance Expert to join our team. As an Associate Director, you will be responsible for supporting the effective implementation, maintenance, and administration of first-line-of-defense programs across various business units.Key ResponsibilitiesParticipate in the Enterprise Regulatory...

  • Assistant Manager

    7 months ago

    Toronto, Canada ICICI Bank Ltd Full time

    Area of Responsibility 1. Execute all assigned audits as per Risk Based Audit Plan (RBAP) and assist in audit fieldwork carried out by the specialist audit teams from the Internal Audit team in India. 2. Assist in preparation of the Annual RBAP based on business plan and risk assessment of various activities for approval by the Audit Committee of the...

  • Audit Manager, Regulatory Compliance Oversight

    3 weeks ago

    Old Toronto, Canada The Toronto-Dominion Bank (Canada) Full time

    Estimated Salary: $120,000 - $180,000 per yearCompany OverviewThe Toronto-Dominion Bank (Canada) is a leading global financial institution with a rich history of innovation and customer-centricity.About the RoleWe are seeking an experienced Audit Manager to lead our Regulatory Compliance Oversight team. This role will be responsible for designing, planning,...

  • Regulatory Affairs Specialist

    3 days ago

    Toronto, Canada Raise Full time

    Regulatory Affairs Specialist II (Clinical)Location: Toronto, ON (Hybrid)Contract Length: 12 MonthsWe at Raise are hiring a Regulatory Affairs Specialist II (Clinical) for one of our top clients. After establishing themselves as an industry leader, they’re now expanding their team to meet rising demand.Responsibilities:Supports batch release by following...

  • Regulatory Affairs Specialist

    3 days ago

    Toronto, Canada Raise Full time

    Regulatory Affairs Specialist II (Clinical) Location: Toronto, ON (Hybrid) Contract Length: 12 Months We at Raise are hiring a Regulatory Affairs Specialist II (Clinical) for one of our top clients. After establishing themselves as an industry leader, they’re now expanding their team to meet rising demand. Responsibilities: Supports batch release by...

  • Regulatory Affairs Specialist

    3 days ago

    Toronto, Canada Raise Full time

    Regulatory Affairs Specialist II (Clinical)Location: Toronto, ON (Hybrid)Contract Length: 12 MonthsWe at Raise are hiring a Regulatory Affairs Specialist II (Clinical) for one of our top clients. After establishing themselves as an industry leader, they’re now expanding their team to meet rising demand.Responsibilities:Supports batch release by following...

  • Regulatory Affairs Specialist

    3 days ago

    Toronto, ON, Canada Raise Full time

    Regulatory Affairs Specialist II (Clinical) Location: Toronto, ON (Hybrid) Contract Length: 12 Months We at Raise are hiring a Regulatory Affairs Specialist II (Clinical) for one of our top clients. After establishing themselves as an industry leader, they’re now expanding their team to meet rising demand. Responsibilities: Supports batch release...