TD

Regulatory Issue Management Lead, Compliance

TD

full-time

Posted on:

Origin:  • 🇺🇸 United States

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Salary

💰 $110,760 - $178,880 per year

Job Level

Senior

About the role

  • Facilitate identification, assessment, control, and monitoring of escalated U.S. Compliance risks through the regulatory issue management process
  • Provide governance, reporting insights, oversight and follow through to ensure identified issues receive appropriate management, remediation and corrective action
  • Work with lines of business stakeholders to develop a culture that fosters self-identification of business and Compliance issues and support the definition of remediation plans
  • Ensure appropriate impact assessment and root cause analysis are completed in line with program standards for identified regulatory issues
  • Recognize opportunities to implement key risk management practices and procedures in normal course of business operations
  • Lead, develop and oversee a team of Compliance CGO professionals
  • Provide specialized project support or services within Compliance
  • Provide strategic direction on complex Compliance program activities
  • Develop Compliance enterprise-wide frameworks, policies, standards, procedures
  • Lead role in managing and responding to periodic exams/audits and regulatory bodies related to CGO accountabilities
  • Oversees research, development and implementation of new processes, technologies or operating models
  • Provide mentorship to direct reports and minimize operational and regulatory risk by complying with Bank Code of Conduct
  • Recruit and develop a diverse team; set performance objectives; manage performance and disciplinary actions as required

Requirements

  • Undergraduate degree or equivalent work experience
  • 10+ years of experience
  • 12+ years of relevant experience (desired)
  • JD and/or other relevant certifications preferred
  • Experience developing and implementing regulatory compliance risk management frameworks and programs
  • Familiarity with Compliance laws, rules, regulations, risks and taxonomies related to consumer and commercial banking, securities (broker-dealer), and wealth management
  • Excellent written, verbal and analytical skills
  • Strong project management skills
  • Advanced proficiency in Microsoft Office Suite
  • Ability to work collaboratively with cross functional partners across the three lines of defense
  • Professional maturity and ability to prioritize competing priorities
  • Highly motivated, strong attention to detail, team oriented, organized
  • Strong presentation skills