Head of Regulatory Assurance (US)

Work Location:

New York, New York, United States of America

Hours

40

Pay Details

$200,000 - $280,000 USD

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.

Line Of Business

Technology Solutions

Job Description

The Head of Regulatory Assurance is a trusted advisor providing guidance and challenge on regulatory inquiries, responses and interactions for Platforms and Technology. This role is accountable for processes and coordination supporting the regulatory program. Ensures appropriate stakeholder engagement and approvals to provide accurate and valid information.

Depth & Scope

• Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required
• Leads highly skilled 1B Risk practitioners to enable the achievement of strategic objectives while operating within the Bank's Risk Appetite
• Supports the management of business and technology / cyber risk in compliance with Regulatory requirements
• Provides regulatory, governance, risk, control and related expertise to the Platform Owner, Product Families, and Product Groups within P&T
• Brings a strong understanding of pertinent legal, regulatory, risk and governance landscape
• Provides business, technology and cyber security risk leadership and support pertinent to the Regulatory landscape to partners as primary liaison on behalf of P&T
• Demonstrates excellent judgment and ability to effectively escalate issues & concerns quickly and to appropriate leaders and control areas
• Builds strong, effective relationships with risk and control partners, enabling speed of decision making and facilitating transparent and timely communication of key information and potential risks
• Owns the relationship with the Regulators on Platform and Technology related inquires, exams and regular updates
• Support Platform & Technology related regulatory examinations and activities by engaging key stakeholders and SMEs to collect and evaluate artifacts and evidence to respond to request items.
• Review artifacts and evidence for executive approval prior to submission to the regulators.
• Provide enterprise leadership and strategic direction to finding owners/remediation teams during the coordination of Management Responses and ongoing governance of Platforms & Technology regulatory findings.
• Facilitate early warning and escalation for all regulatory findings at risk of going overdue and/or emerging issues being raised by the Regulators
• Communicate and provide regulatory status reporting to management and stakeholders.
• Provide oversight of changes, implemented by management to assure regulatory compliance.
• Facilitate the preparation for regular and ad-hoc meetings with Bank regulators by reviewing agendas, seeking required clarifications, preparing materials, and tracking follow-up actions.
• Ensures effective governance and oversight of Regulatory functions
• Shapes the future of P&T by enabling best in class oversight and guidance in partnership with Segment CIOs, risk, legal & compliance partners
• Meets regulatory and risk expectations in partnership with Risk, Compliance, Legal, Audit and Regulatory organizations

Education & Experience

• Undergraduate degree or Technical Certificate required
• Graduate degree preferred
• 10+ years related experience preferred
• Proven experience in managing and leading teams in a regulatory and risk-focused environment
• Strong analytical skills and experience working with data and technology-driven solutions for risk management
• Excellent communication, leadership, and project management skills
• Strong relationship management skills, conflict resolution, ability to prioritize competing priorities and in-depth program management
• Ability to navigate through ambiguity and matrix banking environment
• Must excel in stakeholder engagement, resource management, and financial management
• Analytical and problem-solving skills are essential, along with proven leadership abilities to guide and motivate teams

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 base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. 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.

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

TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.

If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at [email protected]. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.