Manager, Regulatory Examinations

3 months ago

Toronto, Canada TD Bank Full time

**Work Location**:
Canada

**Hours**:
37.5

**Line of Business**:
Governance & Control

**Pay Details**:
**ABOUT TD WEALTH**

**TD Wealth offers a full range of competitive wealth and asset management solutions to retail and institutional clients. We help individual and institutional clients protect, grow and successfully transition their wealth. There are five unique lines of business**:

- **Advice**: Our fastest growing division which includes financial planning, full-service brokerage and private client groups.**
- **Direct Investing**: Canada's largest direct investing brokerage, provides a full set of offerings to retail clients in Canada.**
- **TD Asset Management (TDAM)**:A leading North American investment management company comprised of both retail and institutional clients.**
- **US Wealth**:Leverages the branches in TD's US retail arm to offer a suite of products and services to American customers.**
- **Wealth Shared Services**:National back-office support function serving all market-facing businesses across strategic editorial content, business management, business architecture, wealth product, analytics and reporting, and operations.**
- **Wealth Governance & Control**:National 1B team, advising and supporting the management of the overall risk, control and governance portfolio for TD Wealth.**

**G&C OVERVIEW**

**TD Wealth's Governance & Control (G&C) team partners with the Wealth businesses to design, implement, maintain and monitor effective internal controls and ensure business activities remain within TD Bank's risk appetite and comply with external regulatory requirements.**

**OVERVIEW OF THE ROLE & THE WEALTH REGULATORY AFFAIRS TEAM**

**The role of Manager, Regulatory Exams will be responsible to support the regulatory examination process for TD Wealth Lines of Businesses and control partners.**

**as they relate to the Enterprise Risk Framework, and assistance in the preparation and running of the Wealth Risk Forums, as well as thought leadership on Pan-Wealth initiatives with risk implications.**

**The Regulatory Affairs team is made up of four pillars**:

- **Business Risk Oversight & Privacy**
- **Regulatory Change**
- **Tax Advisory & Oversight**
- **Regulatory Exam Management**

**JOB DESCRIPTION**

**The **Manager **role reports to the Senior Manager, Regulatory Exams and be a key member of the team, in supporting regulatory examination process for TD Wealth, working closely with partners across the organization including senior executives in the various Wealth lines of business, as well as Compliance, Legal, Risk Management, AML, Products, Credit, Tax, Operations, Technology/Delivery, among others. The role's mandate is to help promote a sustained culture of best practices and compliance through the timely collection, coordination and analysis of information. We are looking for a self-motivated and innovative individual who excels in a fast paced deadline driven environment.**

**PRIMARY RESPONSIBILITIES**

**Stakeholder Engagement**
- **Engaged and meet with the Wealth lines of business and control partners regularly to understand existing and upcoming regulatory examinations.**
- **Communicate with stakeholder in advance and help prepare in advance and conduct any assessments as appropriate to help prepare and review any identified risks or gaps with senior management.**

**Regulatory Examination**
- **Support and coordinate regulatory examinations received from the Regulators.**
- **Support the regulatory examination process, monito and track response and regulatory compliance across the supported functions, while ensuring timelines are being met.**
- **Assess / identify key issues and escalate to appropriate levels and relevant stakeholders and business management where required**
- **Develop program-based reporting to provide status update, issues, KPIs, and action plans for the respective business area and continuously enhance reporting, as needed**
- **Consolidates information, summarize issues, analyzes trends and provides regular reporting to senior management and lines of business partners using digitalization and visualization**

**Operational Improvements and Reporting**
- **Proactively keep management informed of regulatory examination, compliance activities, issues, and potential risk to Wealth**
- **Promote strong compliance practices and principles across the Wealth lines of business**
- **Promote strong risk management practices and principles across the business unit, while identifying opportunities for improvement and recommend appropriate solutions**

**JOB REQUIREMENTS**

**Qualifications/Skills/Experience**
- **7+ years' experience in working within a financial institution preferably in compliance role, and/or regulator, or self-regulatory organizations, or consultant/advisory experience is considered a strong asset.**
- **Strong analytical, critical thinking, and proactive problem management skills.**
- **Excellent communication skills (oral and writt

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