Regulatory and Audit Specialist – Technology & Data Risk (3357)

Work Location:

Toronto, Ontario, Canada

Hours:

37.5

Line of Business:

Risk Management

Pay Details:

$91,200 - $136,800 CAD

TD 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:

Department Overview

The independent Operational Risk Management (ORM) team works in partnership with the business units and corporate groups of TD Bank Group to further the understanding and management of operational risk across the enterprise.

Technology & Data Risk Management (TDRM) provides independent oversight and challenge to  Technology, Cybersecurity and Data Risk Management activities executed by the Technology organization and business groups across the enterprise They partner with the first line of defence (CIO & CISO organizations and Enterprise Data Management Office) in identifying, reporting, and mitigating Technology, Cybersecurity and Data Risks and provide related subject matter expertise in risk management practices. The group executes 2A requirements in support of the three lines of defence framework.
 
Job Description

The TDRM Specialist, Regulatory and Audit will work with Regulatory & Audit team members to manage TDRM regulatory and audit interactions. The role partners with key second line stakeholders across TDRM and the Enterprise to provide direction and guidance related to examinations and audits ensuring awareness and mitigation of potential areas of risk. The Specialist is expected to own and organize regulatory and audit activity across TDRM and responsible for managing, coordinating, communicating and tracking exam and audit calendars, and monitoring and reporting on remediation activities.

Reporting to the TDRM Regulatory & Audit Senior Manager this role will have the following accountabilities:

• Support regulatory activities across TDRM domains in Canada, US, and Internationally
• Interface with TDRM executives and senior management, preparing materials for socialization and providing guidance and advice related to regulatory activities and for facilitating awareness and mitigation of potential areas of risk.
• Support implementation, and operationalization of the Stakeholder Engagement Model related to regulatory and audits interactions; manage interactions with entire TDRM  organization, and liaise with other first and third Lines of Defence stakeholders
• Manage examination and audit calendars and own preparedness via readiness assessments, ultimately leading to positive exam and audit outcomes
• Provides expert oversight of exam and audit activities such as the preparation, collection and quality assurance of documentation and artifacts for appropriateness, completion of Regulatory request activities by engaging with key stakeholders, managing alignment with other key stakeholders and first line of defense, and leading and coordinating of exam prep meetings and exam meetings as appropriate
• Management of quarterly and other regulatory meetings across jurisdictions
• Track and report on all regulatory and internal audit activities including exam and finding remediation activities
• Support operational reports for regulatory program quarterly updates
   

Job Requirements

• Possesses detailed knowledge of financial industry regulatory environment and requirements, and risk management practices and the banking industry
• In-depth knowledge of technology, cyber, and data risk and related risk management requirements and legislative/ regulatory directives and guidance with relationship to operational & regulatory compliance risk management
• Demonstrated ability to own and lead, providing leadership and direction by setting context, defining requirements and accountabilities, tasks and assignments across stakeholders during exams and audit activities
• Skilled communicator and influencer to build relationships, advance decision making, and effect change over time
• Demonstrated ability to digest complex information and summarize in a clear, concise fashion (for executive-level consumption) with excellent documentation and presentation creation ability
• Effective communication, negotiation, and conflict management skills
• Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts
• Act as a subject matter expert on current and upcoming regulations and policies. Provide advice and assistance to TDRM leadership to promote compliance with Applicable Regulatory Requirements
• Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite
• Energetic, enthusiastic, pro-active self-starter – willing to “roll up the sleeves” to deliver results in the short-term while building for the long-term; agile, adaptable, 'can-do' attitude, high degree of responsiveness and initiative
• Previous experience of interaction with regulators preferred
• Ability to operate effectively in a matrix environment
   

Additional Information:

• Seven or more years of relevant experience
• Undergraduate degree in a related discipline
• Industry designations such as CISSP are an asset

Who We Are:

TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals. As an organization, we keep growing – and so will you.

Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical, and mental well-being goals. Total Rewards at TD includes a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs. Learn more

Additional Information:
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

Colleague Development
If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.
 

Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process 
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation
Your accessibility is important to us. Please let us know if you’d like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you!

Language Requirement (Quebec only):

Sans Objet