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About the role
Key responsibilities & impact- Support updates to the Enterprise Regulatory Compliance Risk Assessment Standard and procedures
- Support execution of the Annual Regulatory Compliance Risk Assessment and Program Effectiveness activities
- Advise Risk Owners and Oversight Functions on the Regulatory Compliance Risk Assessment workflow
- Conduct quality assurance and quality control activities to maintain data accuracy and completeness
- Support the Quality Assurance Review team and escalate delayed updates
- Support closure of findings against the Regulatory Compliance Risk Assessment Program
- Develop status reporting for timely completion of risk assessment activities and management reporting for senior audiences
- Develop proactive strategies, processes, and recommendations for senior leaders
- Support ad hoc transformation changes and projects
- Lead development and implementation of enterprise Compliance programs, frameworks, policies, standards, procedures, training, monitoring, reporting, and escalation processes
- Create documentation and reports for external regulatory bodies and internal TD groups
- Lead team procedures and governance processes and advise Compliance stakeholders on program changes
- Manage policy and training exemption governance and reporting to the Compliance Senior Executive Team and related committees
- Assist with Issues and Events system tracking and reporting
- Prepare summaries, presentations, briefing notes, and other program-status documentation
- Represent Compliance Governance & Operations on committees and enterprise-wide Regulatory Change Management initiatives
- Provide Compliance subject matter expertise and advice to business partners
- Conduct research, analysis, and assessments of Compliance program activities
- Participate in or manage regulatory examinations and internal/external audits
- Monitor service, productivity, efficiency, risk, governance, and regulatory requirements
- Lead remediation plans and continuous process improvements
- Manage relationships across business lines, corporate functions, and control functions
- Maintain a culture of risk management and control
Requirements
What you’ll need- Undergraduate degree required; equivalent work experience accepted
- 7+ years of experience; 8 years of relevant experience preferred in Compliance, Risk Management, Internal Audit, regulatory oversight, or a related discipline
- Advanced proficiency in Microsoft Office applications
- Experience with governance, risk, and compliance technology and data visualization tools is an asset
- Strategic thinking and continuous improvement mindset
- Demonstrated leadership capabilities, including leading cross-functional initiatives, coaching colleagues, driving accountability, and operating effectively with minimal supervision
- Excellent written and verbal communication skills
- Proven relationship management and influencing skills
- Strong program and project management capabilities
- Advanced analytical and problem-solving skills
- Ability to analyze complex datasets, identify trends and outliers, assess data quality, and develop actionable risk insights
- Ability to provide objective review, effective challenge, and credible oversight of risk assessment methodologies
- Experience evaluating controls, identifying control gaps and emerging risks, and developing risk-based recommendations
- Strong knowledge of applicable laws, rules, regulations, regulatory expectations, and emerging compliance risk trends
- Advanced knowledge of regulatory compliance risk management principles, enterprise governance frameworks, and risk assessment methodologies
- Ability to work with Risk Owners, Oversight Functions, regulatory subject matter experts, technology partners, and senior leaders
- Occasional domestic travel; no international travel
Benefits
Comp & perks- Variable compensation/incentive awards, including eligibility for cash and/or equity incentive awards
- 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
- Reward and recognition
- Regular development conversations, training programs, and performance conversations
- Online learning platform
- Mentoring programs
- Training and onboarding sessions
- Accommodation support for applicants with disabilities