Apply on Employer Site

TD · 21 hours ago

US Compliance - Regulatory Issue Management Manager

Charlotte, NC

Full-time

Onsite

Mid, Senior Level

$91K/yr - $146K/yr

7+ years exp

TD is one of the world's leading global financial institutions, and they are seeking a US Compliance - Regulatory Issue Management Manager to enhance their compliance risk management function. The role involves managing compliance risks, fostering a culture of self-identification of issues, and ensuring adherence to regulatory standards.

BankingFinanceFinancial ServicesWealth Management

Responsibilities

Managing the identification, assessment, control, and monitoring of escalated U.S. Compliance risks through the regulatory issue management process

Managing the governance, reporting insights, oversight and follow through to ensure identified issues receive appropriate management, remediation and corrective action

Working with lines of business stakeholders to develop a culture that fosters self-identification of business and Compliance issues and can support the definition of remediation plans to mitigate associated risks

Ensuring timely completion of impact assessment and root cause analysis and adherence to program standards for identified regulatory issues

Recognizing opportunities to implement key risk management practices and procedures in the normal course of business operations

Engaging in high-level discussions of compliance risks to line of business stakeholders and understands key risk concepts and their relevance to core business practices

Qualification

Risk management frameworksCompliance laws knowledgeProject management skillsAnalytical skillsGovernance processesProfessional maturityCommunicationTeam orientedAttention to detailAdaptabilityPresentation skills

Required

Undergraduate degree or equivalent work experience

7+ years of experience

Experience developing and implementing risk management frameworks and programs, such as Compliance Risk Assessment (CRA), Risk Control Self-Assessment (RCSA), Issue Management, controls management, Monitoring & Testing, Program Effectiveness Assessments, governance of Compliance documentation

Familiarity with compliance laws, rules, regulations, risks and taxonomies related to consumer and commercial banking, securities (broker-dealer), and wealth management

Prior experience working with lines of business stakeholders to develop a culture that fosters self-identification of business and Compliance issues and can support the definition of remediation plans to mitigate associated risks

Ability to recognize opportunities to implement key risk management practices and procedures in the normal course of business operations

Familiarity with evaluation of control design and operating effectiveness

Excellent written, verbal and analytical skills

Proficiency in project management skills overseeing multiple concurrent workstreams

Highly motivated, strong attention to detail, team oriented, organized

Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging; ability to influence and lead at a senior level

Ability to work collaboratively with cross-functional partners across the three lines of defense

Ability to navigate a complex organization

Adaptable and can meaningfully contribute to where we have the most pressing needs

Possesses professional maturity and awareness for how to appropriately prioritize competing priorities against aggressive timelines, and have sound judgment for how and when to escalate

Advanced proficiency in desktop tools including, but not limited to, Microsoft Office Suite