Compliance Business Oversight Manager (3420

Work Location:

Toronto, Ontario, Canada
Hours:

37.5
Line of Business:

Compliance
Pay Details:

$+1,200 - $136,800 CAD
TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

Job Description

Reporting to the Senior Manager, the Manager will support the Enterprise Compliance Program, including Regulatory Inventory and Control program, technology, and processes.

The main focus of the role will be 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 that end, 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.

This is an exciting opportunity for individuals with expertise in the field of governance, risk, and controls. Specific accountabilities include the following:

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.

Perform review of large data sets and leverage business intelligence tools to drive analysis and insight

Monitor and report on compliance with the RCM Regulatory Inventory and Control 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 (GRICG), the team provides day-to-day support to MERLIN Regulatory Inventory. As a second line of defense, GRICG Team is responsible for the oversight and monitoring of TD Regulatory Inventory 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 Inventory & Control Standard. The role of GRICG Manger is to:

Provide oversight of the 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 Third-Party automated regulatory feeds.

Develop and deliver specialized/ad hoc training, as required.


Job Requirements

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

Perform reconciliation against regulatory library for manual intake items, and execution of manual updates to library.

Experience analyzing large data sets and leveraging business intelligence tools to drive analysis and insights

Experience with implementation of process improvements – understanding of technology implementation lifecycle, ability to articulate business requirement for Technology

Strong analytical and problem-solving skills with strong attention 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 collaborative 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

Well-developed organizational awareness and business acumen

Strong relationship management skills

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


Additional Information

7+ years relevant experience

Strong technical background

Who We Are:

TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than +5,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are 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. Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals. As an organization, we keep growing – and so will you.

Our Total Rewards Package
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. Learn more

Additional Information:
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.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.


Colleague Development
If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.


Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.


Accommodation
Your accessibility is important to us. Please let us know if you’d like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you!

Language Requirement (Quebec only):

Sans Objet
 

Canada
Ontario
Toronto Show on map Get directions