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Senior Manager, Audit Regulatory Program Management

2 months ago

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

Job Summary:

The Senior Manager, Audit Regulatory Program Management provides strategic oversight, assistance, and relationship management with multiple regulatory agencies for regulatory interactions across The Toronto-Dominion Bank. Serves as the primary point of contact and manages relationships and interactions with regulators on more complex engagements to ensure proactive, timely, complete, consistent, and high-quality communications; ensures centralized awareness and quality assurance for all regulatory requests and responses to findings; tracks delivery of all commitments to the regulators; and ensures regulatory trends are understood across the organization.

Key Responsibilities:

  • Manages teams of regulatory compliance management professionals/specialists.
  • Serves as ultimate point of contact for Regulatory Program Management with respect to all Audit-related regulatory requests.
  • Oversees responses to formal and informal regulatory requests and serves as liaison between Audit team and internal Regulatory Relations/Regulatory Program Management teams.
  • Obtains clarifications and full understanding of formal regulatory requests and reviews for assigned business lines on more complex examinations, assists as needed on the less complex examinations, serves as liaison for assigned business lines and exam staff.
  • Performs QC of all materials submitted for exams or ongoing supervision, challenges as needed, and ensures business line leads have covered off logistical details for regulatory teams, delivers requested materials securely to the regulatory teams, and tracks outstanding items due to the agencies.
  • Leads as charged in various agency meetings on behalf of Audit and serves as primary Relationship Manager for complex examinations.
  • Consults and collaborates with business lines on regulatory requests or inquiries related to on-going supervision.
  • Serves as a Trusted Advisor and analyzes exam/review results, industry shifts, executive management risk appetite, congressional leanings, and assigned business line direction to provide timely notice on potential risks and regulatory agency direction.