Business Oversight Manager

1 month ago

Toronto, Canada TD Bank Full time

403311BR

Risk Management

Toronto, ON

March 17, 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, in execution of the Global Compliance Operating Framework (GCOF). This includes independently assessing the adequacy of, adherence to and effectiveness of regulatory compliance management programs and controls in the business; delivering 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 Enterprise Corporate Office and Regulatory Change Compliance group, the team provides day-to-day Compliance support to various Corporate Office Areas (“COA”), including Marketing, Human Resources, Risk, and others. As a second line of defense, Compliance is responsible for the independent oversight of compliance risk across TD globally; driving a consistent, adaptable and effective culture across the organization; and assessing the adequacy of, adherence to and effectiveness of TD’s day-to-day Regulatory Compliance Management (RCM). The role of Compliance is to:

- Provide guidance, effective challenge, review and monitoring of the Corporate Function Oversight program for laws, rules and regulations (“LRR”) with their primary oversight.
- Lead the identification and assessment of applicable Privacy, banking, securities and insurance laws, regulations, regulatory guidelines, voluntary codes and public commitments, and TD policy and standards with respect to regulation of business conduct and market conduct.
- Perform inherent and residual Compliance risk assessments of the business segments.
- Develop and communicate enterprise governance and control methodologies related to RCM.
- Oversee and report on business unit regulatory issues/events and associated remediation.
- Perform business unit oversight monitoring to evaluate and assess the adequacy and effectiveness of the 1st line of defense RCM controls.
- Develop and deliver specialized/ad hoc Compliance training, as required.
- Provide independent challenge and objective guidance to the business units.

**Job Description**:
Reporting to the AVP, the primary responsibility of the Manager is to support the development and enhancement of both the first and second line of defence programs for the business units we support, with a focus on Global Compliance Program initiatives including the Enterprise Governance Risk and Control (EGRC) Program, Conduct Risk Framework, Compliance Governance and Assurance Policy reviews, TD Accessibility Policy (Canada), Compliance Risk Assessment Methodology, Regulatory Issue Management and various initiatives. In addition, the Manager will work closely with the Corporate Functions on their Oversight Program. This role will support several COA within the portfolio.

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 evolution and execution of the Compliance program which includes developing and aligning engagement and interaction models within Compliance, as well as first and second line control partners
- Provide guidance, effective challenge, review and monitoring of the Corporate Function Oversight program for laws, rules and regulations (“LRR”) with their primary oversight.
- Lead development of resource materials for Compliance Unit (“CU”) Executive and Senior Management support and implementation of enterprise initiatives.
- Provide CU leadership and representation on Forums and Committees.
- Perform a leadership role as Portfolio Manager with the Centre(s) of Excellence (including Canadian Privacy, FATCA and CRS, Enterprise Conduct Risk Management, Compliance Governance and Assurance programs).
- Establish strong relationships with COAs and corporate partners acting as a primary Compliance contact.
- Compliance oversight of multiple projects at a given time demonstrating superior prioritization and multitasking skills; perform other forms of pre-review/approval (e.g. Proof of Concept).
- Report on existing and emerging regulatory compliance issues and risks to Compliance and BU management/executives.
- Review regulatory change intake in accordance with the Compliance Regulatory Change Management Framework, to inform and advise the COA of new or changed requirements.

**Requirements**:

- Knowledge of relevant Canadian legislation, regulations and industry standards, as it applies to Privacy, banking, payments, wealth management and insurance
- Experience in reviewing and assessing regulatory requirements
- Ability to work independently, think critically and make decisions
- Ability to manag

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