Senior Manager, Audit Regulatory Program Management

2 weeks ago

Auburn Hills, Michigan, United States TD Bank Full time
TD Bank

Senior Manager, Audit Regulatory Program Management

Falmouth ,

Maine

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TD is committed to providing fair and equitable compensation opportunities to all colleagues. The included salary range for this role takes into account multiple factors that are considered in making compensation decisions.

The base pay actually offered may vary based upon candidate's skills and experience, job-related knowledge, licensure and certifications, geographic location, and other specific business and organizational needs.

As TD puts career development at the forefront of our colleague experience, it is not typical for an individual to be hired at or near the top of the range for their role.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.


Line of Business:

Job Description:
The Regulatory Relationship Manager II provides strategic oversight, assistance, and relationship management with multiple U.S. regulatory agencies (i.e. Federal Reserve Banks, Comptroller of the Currency, Consumer Financial Protection Bureau, Federal Deposit Insurance Corporation, Department of Veterans Affairs, Department of Housing and Urban Development, Small Business Administration, the Office of Superintendent of Financial Institutions Canada, and the various State banking departments) for regulatory interactions across TD Bank, affiliates, and the US Holding Company.

The Regulatory Relationship Manager II serves as the primary point of contact and manages relationships and interactions with regulators on more complex engagements to ensure proactive, timely, complete, consistent, and high quality communications; ensures centralized awareness and quality assurance for all regulatory requests and responses to findings; tracks delivery of all commitments to the regulators; and ensures regulatory trends are understood across the organization.

The job also requires understanding the findings and recommendations cited by regulators to assist business lines in prioritizing, where needed, and monitoring status of remediation efforts for assigned business lines.


Depth & Scope:
Obtains clarifications and full understanding of formal regulatory requests and reviews for assigned business lines on more complex examinations, assists as needed on the less complex examinations, serves as liaison for assigned business lines and exam staffs
Performs QC of all materials submitted for exams or ongoing supervision, challenges as needed, and ensures business line leads have covered off logistical details for regulatory teams, delivers requested materials securely to the regulatory teams, and tracks outstanding items due to the agencies
Leads as charged in various agency meetings on behalf of RPM, and serves as primary Relationship Manager for complex examinations
Consults and collaborates with assigned business lines on regulatory requests or inquiries related to on-going supervision
For assigned business line relationships, collaborates with the TDBG Regulatory Program Management function for exams performed by the Canadian regulator, Office of the Superintendent of Financial Institutions (OSFI)
Serves as a Trusted Advisor and analyzes exam/review results, industry shifts, executive management risk appetite, congressional leanings, and assigned business line direction to provide timely notice on potential risks and regulatory agency direction
Participates in meetings to determine themes on findings and recommendations as well as requirements for department procedures
Provides leadership and guidance to junior RPM staff and routinely engages with executive management within the Bank to further RPM's mandate
Leads discussions of Regulatory Review Council related to assigned business lines and participates in various Senior and Executive level review or oversight meetings
Prepares timely and accurate updates for internal Executive level and departmental reporting covering assigned business lines or oversight assignments
Prepares various reports as delegated for Executive management or department use

Education & Experience:
Bachelor's degree required
10+ years' experience required preferably in Risk Management, Regulatory, or Audit in the financial services industry
Proven ability to manage complex initiatives with multiple stakeholder interests to successful completion
Excellent time management and people management skills
Strong ability to influence the decisions and actions of others
Excellent interpersonal skills including demonstration of conflict resolution, negotiation, and relationship building skills at all levels of management.
Proven proficiency in Microsoft Office Suite
Excellent verbal and written communications skills
Excellent negotiation and presentation skills
Ability to communicate complex information clearly to employees and management or assigned business lines and across the organization.
Travel may be required

Preferred Experience:
Regulatory and/or Regulatory exam experience.
Understanding of OCC and FRB.
Advanced communication skills to interact and deliver information to Sr Execs of the bank.

Who We Are:


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.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing.

As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking.

Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential.

Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing – and so will you.
Our Total Rewards Package

Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals.

Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as 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, and reward and recognition.

Learn more )

Additional Information:
We're delighted that you're considering building a career with TD.

Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development

If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed.

You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.

Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we're committed to helping you identify opportunities that support your goals.

Training & Onboarding

We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.

Interview Process
We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.
Accommodation

If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at .

Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.

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