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Compliance Business Oversight Manager

2 months ago

Toronto, Ontario, Canada TD Bank Full time

Job Title: Compliance Business Oversight Manager

Job Summary:

We are seeking a highly skilled Compliance Business Oversight Manager to join our team at TD Bank. As a key member of our Compliance Oversight of Models Office, you will play a critical role in ensuring the appropriate application of models and ensuring regulatory compliance.

Key Responsibilities:

  • Identify, analyze, and report on AI-related laws, rules, and regulatory developments
  • Lead regulatory change management activities for COMO, liaising with internal stakeholders
  • Proactively advise the business on new and changed regulation and/or policy
  • Update TD policy and standards and develop new artifacts based on updated / new laws, rules, and regulations
  • Perform independent inherent and residual risk assessments of the business segments, including evaluation model development procedures and practices against AI regulations
  • Develop training materials and guidelines to help businesses address regulatory compliance and regulatory change throughout the model lifecycle
  • Review regulatory compliance management of AI initiatives across TD and build a close working relationship with business units across the Enterprise

Team Description:

The Compliance Oversight of Models Office (COMO) is an interdisciplinary team that sits at the intersection of data science, regulatory understanding, and ethics. COMO is responsible for the global compliance oversight of models from a regulatory compliance perspective. COMO's oversight spans the model lifecycle and engagement with disparate model stakeholders.

Department Overview:

The Global Compliance Department mission is to foster a culture of integrity, ethics, and compliance and deliver independent risk management and oversight of regulatory compliance risk and conduct risk throughout TD. This is performed in accordance with the Global Compliance Department Mandate, in execution of the Global Compliance Operating Framework (GCOF).

Requirements:

  • Good understanding of compliance processes and regulatory environment, including monitoring and oversight functions
  • Good knowledge of artificial intelligence and machine learning
  • Knowledge of relevant legislation, regulations, and industry standards for financial services
  • Able to breakdown and describe technical concepts in business terms and frame questions in the correct context for the audience
  • Experience with coordination of processes involving multiple groups and stakeholders, ensuring that activities are completed timely and efficiently
  • Strong analytical and problem-solving skills with strong attending to detail to drive problem framing and solutioning
  • Strong verbal, written, and text analysis skills
  • Strong relationship management skills
  • Ability to influence people and deal with conflicting points of view
  • Ability to deal with all levels of staff within the enterprise
  • 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 a governance-related field (e.g. Compliance, Risk Management, AML, Legal, Audit)

Additional Information:

  • Undergraduate degree
  • Relevant professional designations and/or certifications as required
  • 7+ years relevant experience
  • Technical background

Language Requirement:

N/A.