Compliance Business Oversight Manager

Job Description

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 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.

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, the 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 Manager 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 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 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.
• 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.

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 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.

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.

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.

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.