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Specialist, Regulatory and Audit Interactions – ORM Enterprise Tech

374220BR
Risk Management
Toronto, ON
July 22, 2022

Company Overview

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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.

ORM Enterprise Technology (ORM ETech) provides independent oversight and challenge to operational risk management activities executed by the Technology organization and business groups across the enterprise to the management of Technology and Cybersecurity risks across the enterprise. They partner with the first line of defense (CIO & CISO organizations) in identifying, reporting, and mitigating Technology and Cybersecurity risk issues and provide subject matter expertise in Technology and Cybersecurity risk management practices. The group executes 2A requirements in support of 3 lines of defense framework

Job Description

The ORM ETech Specialist, Regulatory and Audit Interactions will manage ORM ETech regulatory and audit interactions. The role partners with key second line stakeholders across ORM ETech and the Enterprise to provide direction and guidance related to examinations and audits ensuring awareness and mitigation of potential areas of risk. The Specialist has key accountability as the owner and organizer of regulatory activity across ORM ETech and responsible for managing, coordinating, communicating and tracking exam and audit calendars.

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

  • Support regulatory activities across ORM ETech domains in Canada, US, and Internationally
  • Interface with ORM ETech 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 ORM ETech organization, and liaise with other first and third Lines of Defense 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

Requirements

  • Possesses detailed knowledge of financial industry regulatory environment and requirements, and risk management practices and the banking industry
  • Technical operational risk management knowledge
  • 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
  • Skillful 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
  • In-depth knowledge of technology and cyber risk and related risk management requirements and legislative/ regulatory directives and guidance with relates to operational & regulatory compliance risk management
  • 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 ORM ETech 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

Hours

37.5

Inclusiveness

At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live and serve. If you require an accommodation for the recruitment/interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.