Compliance Business Oversight Manager, Global Regulatory Inventory (3985)

TD; Canada; On-site; CAD 91,000 - 137,000; Full time

Job summary

A leading financial institution in Toronto is seeking a Compliance Business Oversight Manager to enhance governance processes related to the global regulatory inventory. The ideal candidate will have over 7 years of experience in compliance roles, strong analytical and problem-solving skills, and the ability to work collaboratively. This position offers a competitive salary and the opportunity for growth within a dynamic environment.

Qualifications

• 7+ years relevant experience in compliance or regulatory roles.
• Good understanding of regulatory processes and the compliance environment.
• Experience with analyzing large data sets and coordinating processes.

Responsibilities

• Facilitate oversight and governance of the global regulatory inventory process.
• Monitor compliance with the RCM Regulatory Inventory and Control Standard.
• Identify improvements to automate and streamline processes.

Skills

Analytical skills

Problem-solving skills

Organizational skills

Communication skills

Relationship management

Education

University degree

Law degree (JD or LLB)

Tools

Business intelligence tools

Job description

Work Location: Toronto, Ontario, Canada

Hours: 37.5

Line of Business: Compliance

Pay Details: $91,200 - $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.

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

Reporting to the Senior Manager, Global Regulatory Change & Library Governance, the Compliance Business Oversight Manager will support the Global Regulatory Inventory Governance program, including associated 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.

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 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 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.
• Oversee and report issues associated with the Regulatory Inventory and Third-Party automated regulatory feeds.
• Develop and deliver specialized/ad hoc training, as required.
• Support testing engagements from Internal Audit, Compliance Quality Assurance, and others.

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.

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.

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

• University degree, Law degree (JD or LLB) preferred
• Relevant professional designations and/or certifications as required
• 7+ years relevant experience

TD is an equal opportunities employer and welcomes applications from diverse candidates.