TD Bank Senior Regulatory Manager - ORM Enterprise Technology in Mount Laurel, New Jersey
Senior Regulatory Manager - ORM Enterprise Technology
About TD Bank, America's Most Convenient Bank®
TD Bank, America's Most Convenient Bank, is one of the 10 largest banks in the U.S., providing more than 8 million customers with a full range of retail, small business and commercial banking products and services at approximately 1,300 convenient locations throughout the Northeast, Mid-Atlantic, Metro D.C., the Carolinas and Florida. In addition, TD Bank and its subsidiaries offer customized private banking and wealth management services through TD Wealth®, and vehicle financing and dealer commercial services through TD Auto Finance. TD Bank is headquartered in Cherry Hill, N.J. To learn more, visit www.tdbank.com. Find TD Bank on Facebook at www.facebook.com/TDBank and on Twitter at www.twitter.com/TDBank_US .
TD Bank, America's Most Convenient Bank, is a member of TD Bank Group and a subsidiary of The Toronto-Dominion Bank of Toronto, Canada, a top 10 financial services company in North America. The Toronto-Dominion Bank trades on the New York and Toronto stock exchanges under the ticker symbol "TD". To learn more, visit www.td.com .
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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.
Preferred Job 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
• Strong collaboration and communications (oral and written) skills
• 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
• Financial industry experience preferred
• Previous experience of interaction with regulators preferred
• Ability to operate effectively in a matrix environment
The ORM ETech Senior Regulatory Manager will act as a central point of contact for ORM ETech regulatory and audit interactions. The role partners with key 2A 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 Senior Manager has key accountability as the owner and organizer of regulatory/audit activity across ORM ETech and responsible for leading, managing, coordinating, communicating and tracking exam and audit calendars.
Reporting to the AVP, ORM ETech Governance & Reporting, this role will have the following accountabilities:
• Continuous development, advancement, and leadership of regulatory and audit interaction programs including but not limited to exam and pre-exam preparation, governance of finding remediation activities, and regulatory intelligence
• Lead regulatory activities including finding remediation 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
• Develop, implement, and operationalize the Stakeholder Engagement Model related to regulatory and audits interactions; manage interactions with entire ORM ETech organization, 1st and 3rd Lines of Defense
• Manage examination and audit calendars and own preparedness via readiness assessments, ultimately leading to positive exam and audit outcomes
• Oversees governance of regulatory finding activities across ORM ETech and other control partners across the three line of defense model as needed
• Provides expert oversight of all exam and audit activities such as pre-exam and exam preparation, collection and quality assurance of documentation and artifacts for appropriateness, completion of Regulatory/Audit request activities by engaging with key stakeholders, managing alignment with other key stakeholders and 1st line of defense, and leading and coordinating of exam prep meetings and exam meetings as appropriate
• Provide thought leadership on the 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
• Builds for the future and provide people leadership; oversee people plans and strategies to attract, motivate and retain a highly diverse, qualified and engaged human resource base to fulfill current and future business needs
• Participate in industry forums
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 in and serve, and creating an environment where every employee has the opportunity to reach their potential.
If you are a candidate with a disability and need an accommodation to complete the application process, email the TD Bank US Workplace Accommodations Program at USWAPTDO@td.com . Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.
EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.
Education & Accreditation
• Ten or more years of relevant experience preferred
• Undergraduate degree in a related discipline preferred
• Accreditation in Regulatory Compliance or similar is preferred
Mt Laurel - 6000 Atrium Way
TD Bank AMCB
Job Category - Primary:
Group Risk Management
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