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TD · 6 hours ago

Manager, Regulatory Change Management

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 Manager for their Regulatory Change Management team. In this role, you will lead the development and implementation of enterprise Compliance programs, conduct business impact assessments, and manage day-to-day operations while driving innovation in compliance risk management.

BankingFinanceFinancial ServicesWealth Management

Responsibilities

Conducting business impact assessments, GAP analysis, and drafting Impact Assessment Summary documents

Tracking implementation status and reporting on progress (including metrics formulated in Excel)

Collaborating with project teams/business

Escalating when the business is not completing timely implementation

Facilitating regulatory working meetings and managing RAID (Risks, Issues, Actions and Decisions) logs

Presenting to very large audiences on a routine basis

Leads the development and implementation (or lead support) of enterprise Compliance programs, including frameworks, policies, standards and development of procedures, awareness and specialized training, monitoring, reporting and information, escalation of issues and events

Integrates knowledge of the enterprise sub-function’s or business line’s overarching strategy in developing solutions across multiple functions or operations

Interprets internal/external business challenges and the industry environment, recommends course of action and best practices to improve products, processes or services

Acts as a technical expert/lead integrating cross-function understanding within their own field of specialty; may manage team(s) of related specialists

Leads cross-functional teams or projects with significant resource requirements, risk and/or complexity

Independently manages end-to-end functional programs

Uses sophisticated analytical thought to exercise judgement and identify solutions

Solves or may lead others to solve complex problems; leads efforts or partners with others to develop new solutions

Impacts the achievement of sub-function or business line objectives within the area they are accountable for

Work is guided by policies and industry standards/methods

Communicates difficult concepts; converts information to compelling business context and advice; influences and gains alignment across increasingly senior stakeholders

Works autonomously as the lead and guides others within area of expertise

Works with Compliance partners and other related groups (such as Legal and Risk) to support creation of documentation and reports required by external regulatory bodies and TD internal groups

Leads development of team procedures and governance processes and advises the Compliance stakeholders and teams of changes and enhancements to enterprise Compliance programs and requirements and where they may impact in the organization

Provides governance oversight through management of the policy and training exemption governance and reporting processes to the Compliance Senior Executive Team (and related Compliance Sub-Committees)

Assists Compliance team members in the use of Issues and Events system for tracking and reporting

Prepares summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of the Compliance program

Represents CGO as a specialist on internal or external committees as well as on enterprise-wide Regulatory Change Management initiative, as required

Delivers relevant subject matter expertise and Compliance advice to business Compliance partners

Interacts with control functions within the organization

Conducts meaningful research, analysis, and assessment of Compliance program activities at the functional level using results to draw conclusions, make recommendations, assess the effectiveness of enterprise Compliance programs

Participates in/manages regulatory examinations and external/internal audits with respect to request for information regarding CGO portfolio; reviewing, packaging and providing information for department executive

Adheres to enterprise frameworks and methodologies that relate to activities for our business area

Makes sure respective programs/policies/practices are well managed, meets business needs, complies with internal and external requirements, and aligns with business priorities

Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate

Manages business operations to be in compliance with applicable internal and external requirements (e.g. financial controls, segregation of duties, transaction approvals and physical control of assets)

Participates in cross-functional/enterprise/initiatives as a subject matter expert helping to identify risk/provide guidance for complex situations

Conducts internal and external research projects; supports the development/delivery of presentations/communications to management or broader audience

Conducts meaningful analysis at the functional or enterprise level using results to draw conclusions, makes recommendations, assesses the effectiveness of programs/policies/practices

Monitors service, productivity and assesses efficiency levels within own function and implements continuous process/performance improvements where opportunities exists

Leads/facilitates and/or implements actions/remediation plans to address performance/risk/governance issues

Actively manages relationships within and across various business lines, corporate and/or control functions and manages alignment with enterprise and/or regulatory requirements

Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts

Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and ensures timely communication of issues/points of interest

Supports the team by continuously enhancing knowledge/expertise in own area and participates in knowledge transfer within the team and business unit

Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques

Participates in personal performance management and development activities, including cross training within own team

Keeps others informed and up-to-date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities

Contributes to the success of the team by willingly assisting others in the completion and performance of work activities; provides training, coaching and/or guidance as appropriate

Contributes to a fair, positive and equitable environment that supports a diverse workforce

Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally

Qualification

Regulatory compliance experienceBusiness impact assessmentsGAP analysisImplementation action plansRisk management knowledgePublic speakingMS Office proficiencyAnalytical software toolsCRCM certificationPMP certification