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Senior Manager, Audit Regulatory Program Management
2 months ago
The Senior Manager, Audit Regulatory Program Management is a critical role that requires strategic oversight, assistance, and relationship management with multiple regulatory agencies. This position serves as the primary point of contact and manages relationships and interactions with regulators on complex engagements, ensuring proactive, timely, complete, consistent, and high-quality communications.
Key Responsibilities- Manage teams of regulatory compliance management professionals/specialists.
- Serve as the ultimate point of contact for Regulatory Program Management with respect to all Audit-related regulatory requests.
- Oversee responses to formal and informal regulatory requests and serve as liaison between Audit team and internal Regulatory Relations/Regulatory Program Management teams.
- Obtain clarifications and full understanding of formal regulatory requests and reviews for assigned business lines on complex examinations, assist as needed on less complex examinations, serve as liaison for assigned business lines and exam staff.
- Perform QC of all materials submitted for exams or ongoing supervision, challenge as needed, and ensure business line leads have covered off logistical details for regulatory teams, deliver requested materials securely to the regulatory teams, and track outstanding items due to the agencies.
- Lead as charged in various agency meetings on behalf of Audit and serve as primary Relationship Manager for complex examinations.
- Consult and collaborate with business lines on regulatory requests or inquiries related to on-going supervision.
- Serve as a Trusted Advisor and analyze 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.
- Build close working relationships with key stakeholders to facilitate efficient regulatory responses.
- Provide thought leadership on planned presentations to our banking regulators and Audit Committee.
- Leverage internal and external best practices to drive efficiencies and quality.
- Review and action as-needed management reports that summarize the status of projects and work activities.
- Provide guidance and advice to the various business segments & corporate functions on identifying synergies & opportunities and how to leverage risk & control programs to meet compliance expectations.
- Understand the scope of data required to meet regulatory expectations across Audit and the Bank.
- Understand the data impacts of new & existing regulatory guidance through a strategic lens.
- Analyze the breadth of regulatory requirements to identify overlaps and opportunities to implement strategic solutions and minimize impacts to the business.
- Formulate, monitor & deliver reporting on regulatory compliance pertaining to Audit programs to a variety of audiences, including the regulators/examiners.
- Oversee the analysis of regulatory compliance results.
- Deliver guidance, support and tools to enable regulatory compliance.
- Provide guidance, leadership, mentorship and development to ensure operational results and professional and personal development objectives are achieved for the overall group.
- Identify, mitigate and report on risk issues according to guidelines and ensure appropriate escalation processes are followed; raise nonstandard issues to relevant shareholders and audit management where required.
- Lead the team in the development and integrated implementation of policies, processes, procedures, changes across multiple audit areas while ensuring they follow applicable regulations and stay knowledgeable on emerging issues, trends, and regulatory requirements.
- Provide people management leadership by administering the implementation and completion of performance management activities and providing continuous feedback and training.
- Respond to all requests in a timely manner.
- 10+ years of relevant experience with undergraduate degree and relevant professional certifications, legal designations, or equivalent education.
- Previous regulator or audit experience is an asset.
- Previous management experience.
- Excellent time management and people management skills.
- Strong ability to influence the decisions and actions of others.
- Excellent interpersonal skills including demonstration of conflict resolution, negotiation, and relationship building skills at all levels of management.
- Proven proficiency in Microsoft Office Suite.
- Excellent verbal and written communications skills.
- Excellent negotiation and presentation skills.
- Ability to communicate complex information clearly to employees and management or assigned business lines and across the organization.
- Ability to work on multiple concurrent projects.
- Ability to make business decisions based upon sound judgement.
The Toronto-Dominion Bank (Canada) is one of the world's leading global financial institutions, delivering legendary customer experiences to over 27 million households and businesses in Canada, the United States, and around the world. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities, and colleagues.
We are deeply committed to being a leader in customer experience, innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential.
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical, and mental well-being goals. Total Rewards at TD includes a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs.
We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home.
