Compliance Manager reviewing broker - dealer and registered investment adviser communications for regulatory compliance. Working collaboratively with diverse business partners in a hybrid work environment.
TD
Hybrid Business Information Management Specialist – Risk & Regulatory Oversight, Controls
Posted last month
About the role
- Business Information Management Specialist providing leadership in a variety of data management functions. Supporting report rationalization efforts and ensuring accuracy within the organization’s reporting framework.
Responsibilities
- Provides business technical leadership across a broad range of information management functions
- Works independently as a senior lead and may manage and direct activities related to analysis, design and support of business data management solutions on various projects
- Plays a pivotal role in supporting report rationalization efforts and ensuring the accuracy and integrity of new development within the organization’s reporting framework
- Maintains an enhanced quality assurance (QA) framework
- Drives improved accuracy, efficiency, compliance, and risk mitigation in reporting practices
- Works collaboratively with stakeholders to ensure compliance with regulatory requirements and internal standards
- Develops data road map/information management strategies and corresponding technical solutions on integrating, transforming, and/or managing data
- Supports data modeling capabilities in order to structure business data to be consumed / translated into a variety of novel capacities
- May also be responsible for developing sophisticated data preparation frameworks and architecture to create or modify data features for consumption by Data Scientists.
Requirements
- Undergraduate degree or Technical Certificate
- 7+ years of relevant experience from a business administration, statistical, mathematical, scientific or financial background
- Advanced knowledge of various data sources, tools and technologies used in preparing summaries and reports
- Analytical and problem solving skills are required to interpret data and draw conclusions
- Knowledge of current and emerging competitor and market trends
- Skill in using analytical software tools, data analysis methods and reporting techniques
- Skill in mentoring/coaching others
- Skill in using computer applications including MS Office
- Ability to communicate effectively in both oral and written form
- Ability to work collaboratively and build relationships
- Ability to work successfully as a member of a team and independently
- Ability to exercise sound judgement in making decisions
- Ability to analyze, organize and prioritize work while meeting multiple deadlines
- Ability to handle confidential information with discretion
- Ability to contribute to strategic direction of the function and provide advice to senior leadership.
Benefits
- 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
Job title
Job type
Experience level
Salary
Degree requirement
Location requirements
Compliance Officer providing regulatory compliance support within the asset services business line. Managing compliance frameworks and guiding risk owners on regulatory obligations.
EMEA Regulatory Specialist providing regulatory support at Univar Solutions. Alongside a global team to handle customer inquiries and compliance in the chemical sector.
Regulatory Affairs Coordinator maintaining regulatory documents for research projects at Geneva. Overseeing IRB application processes and supporting research staff with documentation and compliance.
Trade Compliance, Customs and Sanctions Manager role providing compliance advisory on trade controls and customs at Vodafone. Key responsibilities include risk management and stakeholder collaboration on global trade activities.
Regulatory Associate at Reckitt ensuring compliance with global regulatory requirements for new product developments. Collaborating to create comprehensive product registration dossiers and navigate regulatory landscapes.
Lead compliance programs for IESO ensuring adherence to regulations while supporting business and stakeholder engagement in electricity sector.
Vice President of Regulatory Policy providing oversight for regulatory reporting issues related to banking regulations. Focused on Basel III, policy development, and regulatory stakeholder collaboration.
Senior Manager responsible for developing risk management systems and compliance processes at RBC. Collaborating with various teams to minimize investments risks in technology infrastructure.
Compliance Regulatory Change officer ensuring timely identification and communication of regulatory changes affecting RBC businesses. Supporting compliance across Canadian financial sectors with impactful oversight.