Regulatory Compliance Manager

2 days ago

Old Toronto, Canada TD Full time

TD is committed to offering a fair and equitable compensation package to all colleagues.

The base salary offered can vary based on the candidate's skills and experience, professional knowledge, geographic location, and other specific needs of the sector and company.

We encourage you to ask questions about compensation and have an open conversation with your recruiter, who can provide more detailed information about this position.

About the Role

This exciting opportunity is for individuals with expertise in governance, risk, and controls.

The Manager will support the Enterprise Compliance Program, including Regulatory Inventory and Regulatory Change program, technology, and processes.

The main focus of the role is the facilitation of enterprise-wide oversight and governance of the global regulatory inventory process, ensuring that all Laws, Rules, and Regulations (LRRs) are reasonably accurate and complete.

To achieve this, the incumbent will work with Oversight Functions (designated Regulatory Compliance Management accountability for areas of LRRs and Risk Owners (own and operate controls to mitigate LRR risk) across TD.

Responsibilities

  • Perform review of large data sets and leverage business intelligence tools to drive analysis and insight.
  • Perform ongoing execution of the MERLIN Regulatory Inventory feeds and manual process for sustainability of the Regulatory Inventory.
  • Establish strong working relationship with TD Technology team and third-party data provider vendor to collaborate on activities to ensure that MERLIN Regulatory Inventory is accurate.
  • Establish strong relationships with Regulatory Change Leads and Oversight Functions, acting as a primary contact for updates to TD's the Regulatory Inventory.
  • Perform oversight and reconciliation against regulatory inventory for manual intake items, and execution of manual updates to inventory.
  • Monitor and report on compliance with the RCM Regulatory Change Standard.
  • Identify and propose improvements to the process, opportunities to automate and streamline, and participate in improvements implementation.

Department Overview

The Global Compliance Department is responsible for overseeing Regulatory Compliance across TDBG in accordance with the Global Compliance Department Mandate, Framework, and Standards.

This includes independently assessing the adequacy, adherence, and effectiveness of regulatory compliance management programs and controls in the business.

The department also delivers 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 Global Regulatory Change and Inventory Governance (GRCIG), the team provides day-to-day support to MERLIN Regulatory Inventory and Regulatory Change.

As a second line of defense, GRCIG Team is responsible for the oversight and monitoring of TD Regulatory Inventory and Regulatory Change Feeds; governing the processes to support the reasonable accuracy and completeness of the Regulatory Inventory; driving a consistent, adaptable, and effective program across Oversight Functions and Risk Owners; overseeing adherence to the RCM Regulatory Change and RCM Global Regulatory Inventory & Control Standard.

The role of GRCIG Manger is to:

  • Provide oversight of Regulatory Inventory changes to drive consistency.
  • Develop and communicate enterprise governance and control related to TD's Regulatory Inventory.
  • Oversee and report issues associated with the Regulatory Inventory and the automated regulatory feeds.
  • Develop and deliver specialized/ad hoc training, as required.

Requirements

  • A good understanding of Compliance processes and regulatory environment, including how various LRRs may be structured and Oversight Functions with RCM accountability.
  • Knowledge of relevant legislation, regulations, and industry standards, as it applies to Banking, Securities, Insurance, Prudential, Finance, HR, etc.
  • 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.
  • Able to breakdown and describe technical concepts in business terms and frame questions in the correct context for the audience.
  • Ability to work independently, think critically, and make decisions.
  • Ability to manage high volumes of work in a fast-paced environment and manage multiple priorities.
  • Highly organized and flexible in prioritizing various work demands.
  • Able to work collaboratively and as part of a team.
  • Ability to influence people and deal with conflicting points of view.
  • Ability to deal with all levels of staff within the enterprise.
  • Strong verbal and written communication skills.

About the Role

$91,200 - $136,800 per annum.

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