TD Bank AVP Regulatory, Audit and Controls Oversight in Toronto, Ontario
AVP Regulatory, Audit and Controls Oversight
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With an evolving threat landscape, recent breaches at other financial institutions, and heightened scrutiny by TD's Senior Executive Team and the bank's Board of Directors, Enterprise Protect – Office of the CISO is looking to adapt and evolve in order to maintain a strong risk posture, achieve strategic objectives and provide best in class technology risk services.
The Business Information Security Controls & Governance (BISCG) function within Enterprise Protect – Office of the CISO, owns accountability for the following key areas:
Business Information Security Officer (BISO) Engagement: Trusted advisors providing frontline relationship management, challenge and guidance on technology risk and controls. Monitoring TDBG technology portfolios and guiding partners to operate within TD's risk tolerance.
Control Testing & Assurance Services Centre of Excellence: The COE enables a consistent and effective approach for the intake of BISO engagement requests, assessments (including Third-Party Cyber Risk Assessments (3PRCM), Mergers & Acquisitions (M&A), Business Technology Risk Assessments (BTRA) and Control Gap Assessments (CGA)) and controls effectiveness testing.
Technology Risk Services – Governance & Reporting: The TRS – Governance and Reporting team is accountable for the Risk and Controls Standards and Framework, technology risk reporting, operational scorecards for technology risk and control activities, risk appetite metric production, as well as regulatory engagement and exam support.
BISCG Strategic Initiatives: The BISCG Strategic Initiatives team is accountable for driving the BISCG Cloud Strategy and the Next Evolution of Work transformation as Enterprise Protect - OCISO moves into the risk marketplace operating model to support platforms
Business process improvement
Senior-level relationship management
Talent management and leadership development
Associate Vice Presidents (AVPs) at TD Bank Group contribute to the overall reputation of TD. As executives, AVPs help to set the ethical, organizational and performance standard for the teams they lead and exemplify how an effective performance and development culture functions day to day. An AVP is expected to guide his/her team, collaborating as appropriate with TD partners, to deliver superior results in both the short and long term.
AVPs promote adherence to TDBG’s vision and purpose to be the better bank, and to enrich the lives of customers, communities and colleagues. As part of the general management of their function, AVPs are accountable to deliver against TD's five shared commitments:
Think like a customer; provide legendary experiences and trusted advice
Act like an owner; lead with integrity to drive business results and contribute to communities
Execute with speed and impact; only take risks we can understand and manage
Innovate with purpose; simplify the way we work
Develop our colleagues; embrace diversity and respect one another
This position reports directly to the VP, Global Business Information Security Controls and Governance, Enterprise Protect and Office of the CISO.
The AVP, Regulatory, Audit & Controls Oversight will be responsible for providing support for all Technology and Cyber related Internal Audit, Regulatory, and Compliance exams and interactions and provide oversight and governance over remediation activities and commitments to Internal Audit and Regulators.
Enterprise Technology Regulatory Management:
Support Technology and Cyber risk related regulatory examinations by engaging key stakeholders and SMEs to collect artifacts and evidence to respond to request items.
Review artifacts and evidence for executive approval prior to submission to the regulators.
Facilitate the preparation for regular and ad-hoc meeting with Bank regulators by reviewing agendas, preparing materials, and tracking follow-up actions.
Coordinate the Management Response and ongoing governance of Technology and Cyber regulatory findings.
Facilitate early warning and escalation for all regulatory findings at risk of going overdue.
Communicate and provide regulatory status reporting to management and stakeholders.
Monitor and communicate regulatory developments related to Technology and Cyber through government edicts, government affairs, regulatory databases, news services, and industry partners.
Provide oversight of changes, implemented by management, to assure regulatory compliance.
Technology Issue Management Governance:
Deliver independent oversight, governance, challenge practices and support to ensure quality and timely finding remediation of technology issues.
Provide enterprise leadership and strategic direction to finding owners/remediation teams with focus on controls/standards and repeatable solutions.
Obtain Executive attestation confirming findings are on target for completion.
Chair the IT Audit Challenge Committee to ensure Quality Assurance of all remediation plans and closure packages prior to submission to Internal Audit.
Facilitate early warning and escalation for all Internal Audit findings at risk of going overdue.
Enterprise Protect Technology Control Office (including EP /OCISO, Fraud TS, COLA TS and PTS):.
Support and Coordinate Audit & Regulatory Assessments and Findings Remediation.
GIAM Scorecard/Metric Remediation (NPIDs, DIAMOND).
Compliance: Late Terminations, DIAMOND Attestation Compliance and Quality, Overdue LMS Training.
Archer Issues Management (Standard Control Gaps / Self-Declares).
Patching - Coordination of TAOs / Currency TCO Liaison.
Enterprise Protect Priorities and other Programs Tracking (Model Risk, Struts, Pen Testing, AppSec).
Monthly TRC (EP / OCISO, PTS, COLA, Fraud), Weekly Cadence Review.
TPOG Preparation support and Reporting Get-to-Green Tracking (Risk Profile, RAS, TPOG).
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.
TD Centre - TD Tower - 66 Wellington Street West
Job Category - Primary:
Technology Solutions Executives
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