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Title posted on CareerBeacon - Compliance Business Oversight Manager
Posted on November 22, 2024 by Employer details TD Bank
Job details
Work Location:Toronto, Ontario, CanadaHours:37.5Line of Business:CompliancePay Details:n/a - n/a CADTD 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:Job DescriptionReporting to the Senior Manager, the Manager will support the Enterprise Compliance Program, including Regulatory Inventory and Regulatory Change program, 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. 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. Specific accountabilities include the following:Perform review of large data sets and leverage business intelligence tools to drive analysis and insightPerform 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 vendor to collaborate on activities to ensure that MERLIN Regulatory Inventory is accurateEstablish strong relationships with Regulatory Change Leads and Oversight Functions, acting as a primary contact for updates to TD's the Regulatory Inventory.Perform oversight and reconciliation against regulatory inventory for manual intake items, and execution of manual updates to inventory.Monitor and report on compliance with the RCM Regulatory Change StandardIdentify and propose improvements to the process, opportunities to automate and streamline, and participate in improvements implementationDepartment OverviewThe 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 (GRCIG), the team provides day-to-day support to MERLIN Regulatory Inventory and Regulatory Change. As a second line of defense, GRCIG Team is responsible for the oversight and monitoring of TD Regulatory Inventory and Regulatory Change 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 Change and RCM Global Regulatory Inventory & Control Standard. The role of GRCIG Manger is to:Provide oversight of Regulatory Inventory changes to drive consistency.Develop and communicate enterprise governance and control rela- LocationToronto, ON
- Workplace information On site
- SalaryNot available
- Terms of employment Permanent employmentFull time
- Starts as soon as possible
- vacancies 1 vacancy
- Source CareerBeacon #2125945
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