Compliance Business Oversight Manager, Global Regulatory Inventory
Description
Reporting to the Senior Manager, Global Regulatory Change & Library Governance, the Compliance Business Oversight Manager will provide oversight, advisory, and execution support for the Global Regulatory Inventory Governance program, including associated technology, data, and processes. The role provides independent challenge and guidance to ensure the accuracy, completeness, and ongoing effectiveness of the Regulatory Inventory in alignment with the RCM Regulatory Inventory & Control Standard.
The main focus of the role will be the facilitation of enterprise-wide oversight and governance of the global regulatory inventory process, ensuring that all Laws, Rules and Regulations (LRRs) are reasonably accurate and complete. To that end, the incumbent will work with Oversight Functions (designated Regulatory Compliance Management accountability for areas of LRRs and Risk Owners (own and operate controls to mitigate LRR risk) across TD.
This is an exciting opportunity for individuals with expertise in the field of governance, risk, and controls. Specific accountabilities include the following:
Perform ongoing execution of the Regulatory Inventory feeds and manual process to support sustainability of the Regulatory Inventory, while assessing and providing oversight on process effectiveness, data quality, and control adherence.
Establish and influence relationships with TD Technology partners and third-party data provider to ensure data integrity, timely issue resolution, and continuous improvement of Regulatory Inventory feeds.
Influence and collaborate with Regulatory Change Leads and Oversight Functions, and Risk Owners, acting as a primary contact for inventory updates and providing guidance and challenge on adherence to regulatory inventory standards and expectations.
Perform oversight and reconciliation of regulatory inventory data, including manual intake processes and updates identifying, assessing, and escalating data quality, control, and governance risk.
Perform analysis of large datasets using business intelligence tools to generate insights, including enterprise-level trend analysis of inventory completeness, issues, and control effectiveness to support management decision-making.
Monitor, assess, and report on adherence to the RCM Regulatory Inventory and Control Standard, providing independent challenge and advisory support to stakeholders to address gaps and improve compliance.
Identify and drive improvements to the process, including opportunities to automate and streamline, contributing to the ongoing maturity and sustainability of the Regulatory Inventory governance program.
Oversee, track, and and report issues associated with the Regulatory Inventory and Third-Party automated regulatory feeds, ensuring timely escalation and resolution of high-risk or systemic issues.
Develop and deliver targeted training and guidance materials, acting as a subject matter expert in Regulatory Inventory governance, processes, and standards.
Support responses to Internal Audit, Compliance Quality Assurance, and regulatory reviews, including remediation tracking and demonstrating control effectiveness.
Develop and deliver management reporting, including presentations and briefing materials for senior leadership, on Regulatory Inventory health, risks, and remediation process.
Job Requirements
Good understanding of Compliance processes and regulatory environment, including how various LRRs may be structured and Oversight Functions with RCM accountability
Knowledge of relevant legislation, regulations, and industry standards, as it applies to Banking, Securities, Insurance, Prudential, Finance, HR, etc.
Experience providing advisory support and independent challenge within a risk or compliance function
Experience identifying, assessing, and escalating risks and control gaps
Experience preparing management reporting and communicating insights to senior stakeholders
Strong understanding of regulatory governance frameworks (e.g., RCM)
Experience with coordination of processes involving multiple groups and stakeholders, ensuring that activities are completed timely and efficiently
Experience analyzing large data…
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