Regulatory Issue Manager

TD•Washington, DC

1d•$91,000 - $136,240

About The Position

The Regulatory Issue Manager is an individual contributor in the Financial Crimes Management organization. The ideal candidate provides guidance, thought leadership, and subject matter expertise in the areas of KYC/AML, insider threat, and fraud and claims. This role provides support for end-to-end regulatory issue management to include regulatory and audit response management, remediation plan development and execution, evidence collection and maintenance. Day to day activities include review and feedback of written materials, project plans, status reports, process maps, controls, and executive level presentations. Successful candidates are self-directed and able to balance competing priorities within established timelines.

Requirements

Undergraduate degree required
7+ years relevant experience
Advanced knowledge of the business goals/objectives being supported and the full suite of policies, programs, processes and systems
Knowledge of current and emerging competitor and market trends
Ability to contribute to strategic direction of the function and provide advice to senior leadership
Skilled in preparing and managing budgets and resource allocation
Advanced ability to lead, plan, implement and evaluate program/project activities to ensure completion of initiatives
Ability to make an impact, influence and achieve results with effective negotiation, problem-solving and communication skills
Knowledge of risk management environment, standards and regulations
Skilled in mentoring, coaching and performance management
Ability to exercise sound judgement in making decisions
Ability to communicate effectively in both oral and written form
Ability to work collaboratively and build relationships across teams and functions
Skilled in using software tools, methods and techniques
Skilled in using computer applications including MS Office
Ability to analyze, organize and prioritize work while meeting multiple deadlines
Ability to work successfully as a member of a team and independently
Ability to handle confidential information with discretion

Nice To Haves

The successful candidate will articulate their abilities in Regulatory experience (especially OCC, CFPB, Federal Reserve, or OSFI)
Experience with end-to-end Issue Management Lifecycle
Financial Crimes related regulatory experience preferred. Includes but not limited to KYC/AML, fraud and claims, insider threat, Reg E, and BSA)
Understanding of Risk and Control Frameworks
Root Cause Analysis Proficiency
Cross Functional Collaboration Skills
Analytical and Critical Thinking Capabilities
Project Management Experience preferred.
Understanding of Regulatory Expectations and Audit Processes
Ability to Translate Complex Problems into Clear Documentation
Data Interpretation & Reporting Skills

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
Oversees a large team with functional diversity and complexity where activities involve multiple step transactions, multiple systems and jurisdictions, higher volumes and/or medium to high complexity
Work focus time horizon is generally medium to long term with moderate to high focus on strategic planning
Requires expert process management knowledge and the risk profile for team processes supported
Leads teams with multiple points of internal and external contact (may include direct contact with Customers)
May manage over a diverse geographic jurisdiction
Oversees management of team requiring workforce to decision on acceptable level of risk- Moderate to High risk potential (loss/reputational) for functional area
Acts as highest point of team escalation for resolution and provides direction to resolve issues or escalate
Involves regular contact with cross-functional teams across TD or external contacts and/or customers
Manages a group of Fraud professionals providing operational support to partners
Manages team during operational special initiatives like onboarding, QA etc.
Acts as key liaison with partners and external groups and provides subject matter expertise at the department level
Key escalation point for significant risk/exceptions
Monitors service and control standards against, overall business/department objectives
Develops and maintains effective working relationships with internal and external partners for the purposes of delivering optimal customer service
Coaches to ensure operational problems are handled appropriately, and participates in the negotiation and resolution of complex and/or escalated issues where necessary
Contributes to the development of the business plan and operationalizes the plan and delivers on assigned service or functionality
Works closely with key business leaders to develop business plan, ensuring the optimal use of resources and leverages TD’s operating model to maximize efficiency, effectiveness and scale
Monitors and communicates to Senior Management the effectiveness of strategies, programs, and practices related to own area of expertise
Sets the standards for operations and manageability across the business/function ensuring services are built from the ground up
Proactively identifies key business opportunities, researches and recommends enhancements/modifications, develops strategies to achieve recommendations
Ensures department operates in compliance with applicable internal and external requirements
Manages overall budget, revenue and expenditures, meets business objectives while increasing efficiency and effectiveness
Ensures appropriate reporting and escalation of issues based on risk profile
Ensures employees are knowledgeable of and comply with Bank and industry codes of conduct
Leads relationships with business lines/corporate and/or control functions to ensure alignment with enterprise and/or regulatory requirements
Leads or contributes to cross-functional/enterprise initiatives as an organizational or subject matter expert helping to identify risk/provide guidance for complex situations
Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts
Maintains knowledge of end-to-end processes and internal/external partners and regulatory requirements
Responsible for management of the overall team providing both leadership and guidance
Sets targets and objectives for the team, and delivers results
Grows team expertise to align with business/enterprise demand and direction; assesses team skills and capabilities and continually looks for ways to provide and enhance the value delivered
Leads a high performing team; provides on-going feedback and performance reviews, coaches and develops employees and ensures performance management activities are undertaken and completed for all employees
Leads the process of setting performance objectives for the team; tracks, monitors and effectively addresses and/or rewards performance in a timely manner
Manages employees in compliance with all human resources policies, procedures and guidelines of conduct
Shares knowledge, information, skills, and subject matter expertise among the team and ensures the timely communication of issues and encourages good working relationships with other functions and teams
Supports an environment where team freely escalates business challenges; facilitates change through positive reinforcement of milestones and successes
Recruits for all hires to ensure a highly diverse, qualified workforce to achieve business objectives
Establishes and fosters a cohesive team; promotes a fair and equitable environment that supports a diverse workforce and encourages the team to achieve common goals and objectives
Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally

Benefits

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.
Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition.

Stand Out From the Crowd

Upload your resume and get instant feedback on how well it matches this job.

Upload and Match Resume