Manager, Compliance – Model and Data Governance

The Toronto-Dominion Bank (Canada); Toronto; Vor Ort; CAD 97.000 - 137.000; Vollzeit

Zusammenfassung

TD Bank Group is seeking a Manager, Compliance – Model and Data Governance to ensure AI and data usage aligns with enterprise governance. You’ll monitor AI models, work with data scientists, and drive a sustainable surveillance program within the Global Compliance Department.

The role emphasizes data accessibility, quality, and adherence to enterprise standards, with leadership in change and program enhancement across Compliance activities.

Aufgaben

• Monitor AI model and agent performance within Compliance Intelligence Unit.
• Build and maintain business intelligence dashboards.
• Define data requirements and ensure data quality across Compliance.
• Lead governance and program enhancement aligned with regulatory expectations.
• Collaborate with data scientists, analysts and risk partners to improve surveillance.

Kenntnisse

AI governance

Data governance

Analytics

Dashboard development

Regulatory alignment

Jobbeschreibung

Work Location: Toronto, Ontario, Canada Hours: 37.5 Line of Business: Data & Analytics Pay Details: $96,900 - $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

1. Role Overview

The Manager, Compliance – Model and Data Governance is responsible for ensuring AI and data usage within TDS Compliance aligns with enterprise strategy and governance principles. The role also involves monitoring the performance of AI models and agents to ensure effective and sound implementation. In addition, the role will work closely with data scientists and data analysts within the Compliance Intelligence Unit, as well as the broader TDS Compliance and Compliance Technology towards effective and timely implementation of the TDS Compliance AI and data strategy.

2. Department Context

The Global Compliance Department oversees regulatory compliance across TDBG in accordance with the Global Compliance Operating Framework. The department promotes regulatory compliance by developing and maintaining compliance programs, identifying and disseminating regulatory developments to supported businesses, maintaining Compliance policies, managing complaints and regulatory filings, providing relevant training, carrying out independent monitoring and oversight activities, reporting on the state of compliance to the Board, UDP and senior management, as needed, and providing advice and support, as required.

3. Role Scope

• Work with the rest of the Compliance Intelligence Unit as a senior Compliance professional focused on data, AI integration, enterprise governance, and program enhancement.
• Ensure Compliance data accessibility and quality, and adherence to enterprise data and AI usage standards.
• Operate as a leader of change and a culture-carrier for excellence and continuous improvement across Compliance program enhancement activities.
• Execute the role in support of a highly effective, efficient, focused, embedded and sustainable surveillance program.

4. Functional Accountabilities

4.1 AI, Advanced Analytics and Compliance Data

• Monitor performance of AI models and agents.
• Build and maintain business intelligence dashboards.
• Evaluate AI usage within Compliance to ensure impact, scalability, safety and sustainability.
• Define requirements for ingestion and integration of data in the Compliance Data Repository.
• Define requirements for data quality across all data used in Compliance, including completeness, timeliness, accuracy and lineage.
• Ensure AI and data usage within Compliance adheres to enterprise standards and governance.

4.2 Program Enhancement and Regulatory Alignment

• Lead reviews of the current program and work with Advisory Compliance, Technology, and first line of defense business and risk and control partners to enhance the program consistent with regulatory expectations.
• Align program enhancement activities to expectations of relevant regulatory authorities, including SEC, CFTC, Federal Reserve, OCC, Financial Conduct Authority, MAS, HKMA and UK PRA.
• Support strategic focus and actively work with IT, Communications Surveillance leadership and Trade Surveillance leadership to produce a highly effective, efficient, focused, embedded and sustainable surveillance program.
• Coordinate and participate in vendor and client roundtable forums and industry conferences or events focused on surveillance.
• Support the documentation and enhancement of policies and procedures to ensure the program is documented and evidenced consistent with firm and regulatory requirements.

5. Shared Governance and Leadership Accountabilities

• With business and other Risk partners, promote a strong governance and control environment with periodic assessments against industry practices.
• With Risk, ensure the Bank operates within the compliance risk appetite and that operational risk from a Compliance standpoint is effectively mitigated, assessed and managed.
• Remain current on emerging risks, trends and evolving regulatory requirements for Compliance and the QM and QAR teams.
• Build a positive, diverse and open work environment by continually improving efficiency, sharing deep knowledge and skills, and encouraging the team to deliver results.
• Attract, develop and retain talent, and maintain an active talent pipeline.
• Advance TD’s leadership development, colleague experience and diversity