Regulatory Policy Director
1 month ago
We are seeking a highly skilled and experienced Regulatory Policy VP to join our team at TD. As a key member of our Global Markets Supervision team, you will play a critical role in driving a strong culture of supervision and supervisory engagement, considering industry best practice and regulatory change.
Key Responsibilities:- Develop and implement supervisory controls and procedures to address regulatory and best practice requirements.
- Manage key relationships with business line supervisors and serve as primary contact to advise or coordinate with key stakeholders on day-to-day supervision, regulatory or business conduct matters requiring escalation.
- Support Global Markets in meeting its regulatory obligations, including preparation of monthly supervision packs and leading meetings with Global Markets Supervisors to analyze key metrics/trends and review market/business conduct escalations.
- Assess implications of Firm policy, regulatory, new business, or best practice changes to the supervision framework.
- Interface with Internal and External Auditors / Examiners as needed, and where required assist with remedial work efforts for any open audit and compliance (testing) findings and open gaps.
- Undergraduate Degree a minimum.
- 5 years+ experience in Capital Markets/Financial Services industry, experience in Equities asset class strongly preferred.
- Strong working knowledge of key regional regulatory requirements.
- Solid understanding of 3 LoD framework and key non-financial risks controls and applicability to business activities.
- Proficient with MS Office Suite, including high-level competency in Excel with ability to create pivot tables, macros, and write/edit code in VBA preferred.
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.
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