Regulatory Exam & Issues Management
Posted 2025-08-15
Remote, USA
Full Time
Immediate Start
About the position
The Regulatory Exam & Issues Management position at TD Bank, also referred to as the Business Line Liaison (BLL), plays a crucial role in supporting the execution of risk and governance activities within the designated line of business (LOB). This position serves as the primary point of contact for key risk and governance activities, coordinating actions, responses, and documentation for the business. The BLL is responsible for managing potential self-identified findings, documenting control breakdowns, and communicating root causes to relevant parties. They will lead the response to low and some medium findings and assist in drafting responses for high-risk findings. In this role, the BLL will draft action plans for all issues and findings within the LOB, ensuring that all closure activities are coordinated and documented. They will prepare closure packages for all findings, obtain LOB approval, and submit these to the 1B SSGC. The BLL will also act as the point of contact for any incidents or events, notifying the Operational Risk and Framework Execution pillars as required. Additionally, they will coordinate requests from Examiners, Auditors, or other requestors, working closely with the LOB to draft necessary commentary or deliverables. The BLL will support the LOB's Business Continuity Plan (BCP), ensuring it is up to date and aligned with the risk appetite. They will assist in identifying process impacts and change requirements related to regulatory projects managed by the Compliance Regulatory Office. Furthermore, the BLL will represent the LOB at the QC Weekly status report meetings, discussing failures and determining if issues need to be opened. This position requires strong project management skills to handle multiple requests and projects effectively, as well as excellent communication skills to interact with executive management and other stakeholders.
Responsibilities
• Act as the point of contact for the Line of Business areas of responsibility (LOB) for any potential self-identified findings.
,
• Document control breakdowns and root causes, communicating them to relevant parties.
,
• Lead on low and some medium findings, and assist in drafting for high-risk findings.
,
• Draft action plans for all issues and findings within LOB.
,
• Coordinate all closure activities to ensure all action plan deliverables are met.
,
• Prepare closure packages for all findings and issues in the LOB, obtaining LOB approval and submitting to 1B SSGC.
,
• Act as the point of contact for any potential incidents/events and notify the Operational Risk and Framework Execution pillars as required.
,
• Coordinate the fulfillment of any requests by an Examiner, Auditor, or other requestor.
,
• Support the LOB BCP, ensuring the plan is up to date and all annual activities are completed as required.
,
• Assist the LOB in identifying process impacts and change requirements related to regulatory projects.
,
• Act as the point of contact for the 1B QC testing team, providing responses to address testing questions and coordinating those responses with the LOB.
,
• Serve as the primary representation at the QC Weekly status report meeting for LOB to discuss failures and determine if an issue needs to be opened.
,
• Coordinate the completion of any required change management forms and support change management initiatives as needed.
,
• Support changes for Policies and Procedures in partnership with the Business Management Group (BMG).
,
• Support other processes or deliverables for SSG&C on behalf of the business line.
Requirements
• Bachelor's Degree and/or equivalent experience.
,
• 5+ years of Business Line Experience in Core Bank Operations.
,
• Strong understanding of Risk & Controls.
,
• Experience drafting Risk & Control documentation including issue responses, action plans, and audit commentary.
,
• Project management experience to manage multiple requests and projects.
,
• Strong communication skills, both written and verbal, including with executive management.
Nice-to-haves
• Experience in a financial institution or banking environment.
,
• Familiarity with regulatory compliance and risk management frameworks.
,
• Ability to work independently and manage time effectively.
Benefits
• Base salary and variable compensation/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 opportunities.
,
• Reward and recognition programs. Apply tot his job
The Regulatory Exam & Issues Management position at TD Bank, also referred to as the Business Line Liaison (BLL), plays a crucial role in supporting the execution of risk and governance activities within the designated line of business (LOB). This position serves as the primary point of contact for key risk and governance activities, coordinating actions, responses, and documentation for the business. The BLL is responsible for managing potential self-identified findings, documenting control breakdowns, and communicating root causes to relevant parties. They will lead the response to low and some medium findings and assist in drafting responses for high-risk findings. In this role, the BLL will draft action plans for all issues and findings within the LOB, ensuring that all closure activities are coordinated and documented. They will prepare closure packages for all findings, obtain LOB approval, and submit these to the 1B SSGC. The BLL will also act as the point of contact for any incidents or events, notifying the Operational Risk and Framework Execution pillars as required. Additionally, they will coordinate requests from Examiners, Auditors, or other requestors, working closely with the LOB to draft necessary commentary or deliverables. The BLL will support the LOB's Business Continuity Plan (BCP), ensuring it is up to date and aligned with the risk appetite. They will assist in identifying process impacts and change requirements related to regulatory projects managed by the Compliance Regulatory Office. Furthermore, the BLL will represent the LOB at the QC Weekly status report meetings, discussing failures and determining if issues need to be opened. This position requires strong project management skills to handle multiple requests and projects effectively, as well as excellent communication skills to interact with executive management and other stakeholders.
Responsibilities
• Act as the point of contact for the Line of Business areas of responsibility (LOB) for any potential self-identified findings.
,
• Document control breakdowns and root causes, communicating them to relevant parties.
,
• Lead on low and some medium findings, and assist in drafting for high-risk findings.
,
• Draft action plans for all issues and findings within LOB.
,
• Coordinate all closure activities to ensure all action plan deliverables are met.
,
• Prepare closure packages for all findings and issues in the LOB, obtaining LOB approval and submitting to 1B SSGC.
,
• Act as the point of contact for any potential incidents/events and notify the Operational Risk and Framework Execution pillars as required.
,
• Coordinate the fulfillment of any requests by an Examiner, Auditor, or other requestor.
,
• Support the LOB BCP, ensuring the plan is up to date and all annual activities are completed as required.
,
• Assist the LOB in identifying process impacts and change requirements related to regulatory projects.
,
• Act as the point of contact for the 1B QC testing team, providing responses to address testing questions and coordinating those responses with the LOB.
,
• Serve as the primary representation at the QC Weekly status report meeting for LOB to discuss failures and determine if an issue needs to be opened.
,
• Coordinate the completion of any required change management forms and support change management initiatives as needed.
,
• Support changes for Policies and Procedures in partnership with the Business Management Group (BMG).
,
• Support other processes or deliverables for SSG&C on behalf of the business line.
Requirements
• Bachelor's Degree and/or equivalent experience.
,
• 5+ years of Business Line Experience in Core Bank Operations.
,
• Strong understanding of Risk & Controls.
,
• Experience drafting Risk & Control documentation including issue responses, action plans, and audit commentary.
,
• Project management experience to manage multiple requests and projects.
,
• Strong communication skills, both written and verbal, including with executive management.
Nice-to-haves
• Experience in a financial institution or banking environment.
,
• Familiarity with regulatory compliance and risk management frameworks.
,
• Ability to work independently and manage time effectively.
Benefits
• Base salary and variable compensation/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 opportunities.
,
• Reward and recognition programs. Apply tot his job