Dir. princ., Supervision des activités, Conformité

Job Description

Reporting to the Vice President Compliance Transformation, the Senior Manager is responsible for the governance of the Enterprise Compliance Regulatory Change Program, including technology, and processes. The incumbent will work with Oversight Functions and Risk Owners across TD.

The main focus of the role will be the facilitation of enterprise-wide oversight and governance of the global regulatory change process, ensuring that monitoring of changes to is being performed in alignment to the RCM Regulatory Change Standard. To that end, the incumbent will engage with various stakeholders, including Oversight Functions (designated Regulatory Change Leads 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 compliance, governance, risk, and controls. Specific accountabilities include the following:

• Act as a subject matter expert and provide objective guidance, review, and support oversight and governance of regulatory change activities

• Perform a leadership role in the ongoing execution of the Regulatory Change Management process with Oversight Functions Regulatory Change Leads

• 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 Change Standard

• Lead and facilitate the onboarding to the MERLIN Regulatory Change Management module

• Establish strong working relationship with TD Technology team and third-party data provider vendor to collaborate on activities for the Regulatory Change feed

• Facilitate enterprise-wide oversight and governance and support the global regulatory library process, ensuring that all Law, Rules and Regulation Regulatory Inventory is complete

• 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 Change and Regulatory Inventory. As a second line of defense, the Senior Manager is responsible for the oversight and monitoring of TD Regulatory Change feed; governing the processes to support the reasonable accuracy and completeness of the Regulatory Change Program; driving a consistent, adaptable, and effective program across Oversight Functions and Risk Owners; overseeing adherence to the RCM Regulatory Change Standard. The role of Senior Manager is to:

• Lead and support oversight of regulatory changes to drive consistency.

• Develop and communicate enterprise governance and control related to TD's Regulatory Change Program.

• Oversee and report issues associated with the Regulatory Change and the automated regulatory feeds.

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

Job Requirements

• Good understanding of Compliance processes and regulatory environment, including monitoring 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

• 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 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

• 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 a governance related field (e.g. Compliance, Risk Management, AML, Legal, Audit)

Additional Information

• University degree, Law degree (JD or LLB) preferred

• Relevant professional designations and/or certifications as required

• 7+ years relevant experience