Compliance Business Oversight Manager, Global Regulatory Inventory (4946)

TD•Toronto, ON

3d•CA$96,900 - CA$136,800•Onsite

About The Position

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 (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. Reporting to the Senior Manager, Global Regulatory Change & Library Governance, the Compliance Business Oversight Manager will provide oversight, advisory, and execution support for the Global Regulatory Inventory Governance program, including associated technology, data, and processes. The role provides independent challenge and guidance to ensure the accuracy, completeness, and ongoing effectiveness of the Regulatory Inventory in alignment with the RCM Regulatory Inventory & Control Standard. 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. To that end, the incumbent will work with Oversight Functions (designated Regulatory Compliance Management 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 governance, risk, and controls.

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 providing advisory support and independent challenge within a risk or compliance function
Experience identifying, assessing, and escalating risks and control gaps
Experience preparing management reporting and communicating insights to senior stakeholders
Strong understanding of regulatory governance frameworks (e.g., RCM)
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 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 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

Nice To Haves

University degree required; background in business, risks, compliance, or data analytics preferred.
Advanced degree (e.g., JD or LLB) is considered an asset but not required.
Relevant professional designations and/or certifications as required
7+ years relevant experience

Responsibilities

Perform ongoing execution of the Regulatory Inventory feeds and manual process to support sustainability of the Regulatory Inventory, while assessing and providing oversight on process effectiveness, data quality, and control adherence.
Establish and influence relationships with TD Technology partners and third-party data provider to ensure data integrity, timely issue resolution, and continuous improvement of Regulatory Inventory feeds.
Influence and collaborate with Regulatory Change Leads and Oversight Functions, and Risk Owners, acting as a primary contact for inventory updates and providing guidance and challenge on adherence to regulatory inventory standards and expectations.
Perform oversight and reconciliation of regulatory inventory data, including manual intake processes and updates identifying, assessing, and escalating data quality, control, and governance risk.
Perform analysis of large datasets using business intelligence tools to generate insights, including enterprise-level trend analysis of inventory completeness, issues, and control effectiveness to support management decision-making.
Monitor, assess, and report on adherence to the RCM Regulatory Inventory and Control Standard, providing independent challenge and advisory support to stakeholders to address gaps and improve compliance.
Identify and drive improvements to the process, including opportunities to automate and streamline, contributing to the ongoing maturity and sustainability of the Regulatory Inventory governance program.
Oversee, track, and and report issues associated with the Regulatory Inventory and Third-Party automated regulatory feeds, ensuring timely escalation and resolution of high-risk or systemic issues.
Develop and deliver targeted training and guidance materials, acting as a subject matter expert in Regulatory Inventory governance, processes, and standards.
Support responses to Internal Audit, Compliance Quality Assurance, and regulatory reviews, including remediation tracking and demonstrating control effectiveness.
Develop and deliver management reporting, including presentations and briefing materials for senior leadership, on Regulatory Inventory health, risks, and remediation process.