Head of Regulatory Assurance (US)

TD•Mount Laurel, NJ

20h•Onsite

About The Position

The Head of Regulatory Assurance is a trusted advisor providing guidance and challenge on regulatory inquiries, responses and interactions for Platforms and Technology. This role is accountable for processes and coordination supporting the regulatory program. Ensures appropriate stakeholder engagement and approvals to provide accurate and valid information.

Requirements

Undergraduate degree or Technical Certificate required
Graduate degree preferred
10+ years related experience preferred
Proven experience in managing and leading teams in a regulatory and risk-focused environment
Strong analytical skills and experience working with data and technology-driven solutions for risk management
Excellent communication, leadership, and project management skills
Strong relationship management skills, conflict resolution, ability to prioritize competing priorities and in-depth program management
Ability to navigate through ambiguity and matrix banking environment
Must excel in stakeholder engagement, resource management, and financial management
Analytical and problem-solving skills are essential, along with proven leadership abilities to guide and motivate teams

Responsibilities

Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required
Leads highly skilled 1B Risk practitioners to enable the achievement of strategic objectives while operating within the Bank's Risk Appetite
Supports the management of business and technology / cyber risk in compliance with Regulatory requirements
Provides regulatory, governance, risk, control and related expertise to the Platform Owner, Product Families, and Product Groups within P&T
Brings a strong understanding of pertinent legal, regulatory, risk and governance landscape
Provides business, technology and cyber security risk leadership and support pertinent to the Regulatory landscape to partners as primary liaison on behalf of P&T
Demonstrates excellent judgment and ability to effectively escalate issues & concerns quickly and to appropriate leaders and control areas
Builds strong, effective relationships with risk and control partners, enabling speed of decision making and facilitating transparent and timely communication of key information and potential risks
Owns the relationship with the Regulators on Platform and Technology related inquires, exams and regular updates
Support Platform & Technology related regulatory examinations and activities by engaging key stakeholders and SMEs to collect and evaluate artifacts and evidence to respond to request items.
Review artifacts and evidence for executive approval prior to submission to the regulators.
Provide enterprise leadership and strategic direction to finding owners/remediation teams during the coordination of Management Responses and ongoing governance of Platforms & Technology regulatory findings.
Facilitate early warning and escalation for all regulatory findings at risk of going overdue and/or emerging issues being raised by the Regulators
Communicate and provide regulatory status reporting to management and stakeholders.
Provide oversight of changes, implemented by management to assure regulatory compliance.
Facilitate the preparation for regular and ad-hoc meetings with Bank regulators by reviewing agendas, seeking required clarifications, preparing materials, and tracking follow-up actions.
Ensures effective governance and oversight of Regulatory functions
Shapes the future of P&T by enabling best in class oversight and guidance in partnership with Segment CIOs, risk, legal & compliance partners
Meets regulatory and risk expectations in partnership with Risk, Compliance, Legal, Audit and Regulatory organizations