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Compliance Business Oversight Manager

Toronto, ON
Full Time
2 days ago

Workplace Model

Pay Details

We're committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with your recruiter and ask compensation related questions, including pay details for this role.

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 Library Governance, the team provides day-to-day support to various areas Oversight Functions. As a second line of defense, Global Regulatory Change and Library Governance Team is responsible for the oversight and monitoring of TD Regulatory Library and Regulatory Feeds; driving a consistent, adaptable and effective process across the organization. The role of Global Regulatory Change and Library Governance Manger is to:

•Provide oversight and monitoring of the Regulatory Library and Regulatory Change Management.
•Develop and communicate enterprise governance and control related to TD's regulatory inventory and regulatory change.
•Oversee and report issues associated with the inventories and regulatory change feeds.
•Develop and deliver specialized/ad hoc training, as required.

Job Details

Reporting to the Senior Manager, the Manager will support the Enterprise Compliance Program, including Regulatory Library and Regulatory Change program, technology and processes. The incumbent will work with Oversight Functions and Risk Owners 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 a leadership role in the ongoing execution of the MERLIN Regulatory Library/Feed and the Regulatory Change Management Feed with Oversight Functions Regulatory Change Leads.
•Act as a subject matter expert and provide objective guidance, review, and support regulatory change activities.
•Facilitate enterprise-wide oversight and governance of the global regulatory library process, ensuring that all Law, Rules and Regulation mapping is complete or adequate rationale is provided if incomplete.
•Perform reconciliation against regulatory library for manual intake items, and execution of manual updates to library.
•Provide oversight to ensure Key Controls are implemented correctly and occurring effectively.
•Support the Oversight Functions Executive in attesting to the completeness and accuracy of the regulatory library on a periodic basis.
•Monitor and report on compliance with the Standard
•Perform review and challenge of Oversight Functions Regulatory Change Management procedure for alignment against the Standard
•Establish strong relationships with Regulatory Change Leads acting as a primary contact for TD's centralized inventory for law, rules and regulations and the regulatory change workflow.

Job Requirements

•Knowledge of relevant legislation, regulations, and industry standards, as it applies to privacy, banking, payments, wealth management and insurance
•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
•Professional experience in Corporate Office Areas
•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

Company Overview
Our Values
At TD we're guided by our purpose is to enrich the lives of our customers, communities and colleagues, and share a set of values that shape our culture and guide our behavior. In exchange for how our colleagues show up to help TD succeed, we are committed to delivering a colleague experience grounded in Impact, Growth and a Culture of Care. No matter where you work across TD, we empower you to make an impact at work and in your community, explore and grow your career and be part of our caring and inclusive culture.

Making Your Well-being a Priority
A caring and supportive culture that promotes colleague well-being is core to who we are. At TD, we focus on total well-being with extensive programs to help colleagues assess, manage, and improve their well-being across four core pillars - physical, financial, social and mental/emotional. In addition, we champion a safe, inclusive and supportive work environment to help colleagues feel a sense of belonging, and supported in their personal and professional growth. Through our focus on total well-being, we know that we can help our colleagues thrive, contribute to our culture of care, and support better business outcomes ... because when colleagues feel their best, they're more likely to do their best.

Our Total Rewards Package
Our Total Rewards package reflects the investment we make in our colleagues to help them, and their families achieve their 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 including medical, dental, vision & mental health coverage, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs.

How We Work
At TD, we believe in-person connections fuel collaboration and collective creativity. Our workplace experience empowers colleagues to do great work side-by-side at TD locations, while offering flexibility to work remotely where it makes sense for the work and team. Our teams work in one of three workplace models: hybrid, onsite and primarily remote. Wherever our colleagues are working, they'll always have access to the TD community and experience our culture of care.

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. 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 95,000 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 a customer obsessed organization, and we are 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 Commitment to Diversity, Equity, and Inclusion
At TD, we're committed to fostering an environment where all colleagues are encouraged to bring their authentic selves to work, experience equitable opportunities, and feel respected and supported. We're dedicated to building an inclusive workforce that reflects the diversity of the customers and the communities in which we live and serve.

How We're Helping Make an Impact in Communities
TD has a long-standing commitment to help drive progress towards a more inclusive and sustainable future. That's why we launched the TD Ready Commitment in 2018, now a multi-year North American initiative. Under the TD Ready Commitment, we are targeting a total of $1 billion by 2030 in community giving four key, interconnected drivers of change: Financial Security, Vibrant Planet, Connected Communities, and Better Health. It's our goal to help support change, nurture progress, and contribute to making the world a better, more inclusive place for our customers, colleagues, and communities.

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We look forward to hearing from you!
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