Job Description
Work Location: Dublin, Ireland Hours: 35 Line of Business: TD Securities Pay Details: We’re committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role. Job Description: Job Title: Regulatory Liaison Officer, TD Global Finance Unlimited Company Job Level: L10 Job Type: Regulated CBI Fitness & Probity Designations: This is a regulated role and is subject to the Central Bank of Ireland ("CBI") Fitness & Probity standards: as such job holders must hold confirmation that they have been assessed as meeting the CBI's Fitness & Probity Standards before commencing their controlled function job, and on an annual basis thereafter. Material Risk Taker: No Business/Product Group: Business Oversight & Global Compliance Location: Dublin, Ireland Committee Membership: Attendee at TDGF Operating Committee Reports to: Chief Compliance Officer, TD Global Finance Unlimited Company Direct Reports: None Position Summary: The TDGF Regulatory Liaison Officer 'RLO' supports the TDGF Chief Compliance Officer in the management of TDGF’s relationship with the Central Bank of Ireland ('CBI') initially and with the European Central Bank('ECB'), and the Single Resolution Board ('SRB') once the firm commences its Credit Institution application. This role is the primary point of contact between the bank and the ECB, CBI, SRB maintaining open and transparent communication channels and building strong relationships to support the delivery of our strategic objectives. Specific Responsibilities: Providing independent review/challenge of all regulatory submissions received from the various regulators, fostering strong collaborative relationships with TDGF IMC members and functional leadership across TD. Preparing & submitting regulatory reports to ECB, CBI, SRB adhering to specific reporting standards. Facilitating & coordinating regulatory examinations initiated by the ECB, CBI, SRB, ensuring timely & accurate responses, coordinating responses to regulator information requests and managing regulator meetings. Leading the coordination of firm responses to follow up regulator requests, including monitoring of corrective actions arising from regulatory examination. Leading internal stakeholder meetings to discuss progress in corrective actions. Coordination of pre-examination readiness efforts, internal preparation meetings, meetings with examination and on-site teams, touch point meeting with Bank personnel and management, and post examination close. Collaborating closely with Compliance legal, risk, finance, and other departments, emphasizing the alignment of internal practices with ECB, CBI, SRB expectations and escalating risks and/or issues in a timely manner. Providing advice and support to large-scale regulatory remediation projects with respect to regulatory expectations and reviewing and challenging closure documentation. In support of Compliance and Legal teams, assessing the implications of new regulations on the Banks’ businesses, customers and products to ensure the Bank will be compliant. Maintaining Policies and Procedures on communication with and from the regulators. Identifying future threats to our relationships with regulator and ensuring strategies are in place to prevent the threat from damaging our relationship. Shared Responsibilities: Across TDBG: Favourable outcomes in regulatory reviews. Timely, effective and sustainable findings remediation. Accurate threat assessments and strategies. Ensure the proper data infrastructure is in place for the evaluation of risk. Within management group: Active engagement in aligning TD's strategy with a strong, sustainable proactive risk culture and appetite. Identify emerging risks and emerging systemic regulatory themes. Talent management/people development (acquisition/retention/succession). Risk Management Responsibilities: Responsible for identifying and reporting Operational Risk Events in accordance with policy. Responsible, along with all colleagues, to contribute in a positive way to TDGF's reputation and the management of Reputational Risk. Responsible for good conduct and for contributing to the identification and management of Conduct Risk within their team and function. Regulatory Requirements: You must observe proper standards of market conduct. It is your responsibility to demonstrate that you take reasonable steps to be fully aware of, understand and comply with all regulatory requirements from all regulatory bodies that are applicable to your business. In particular, as a Controlled Function for the purposes of the CBI's Fitness and Probity Regime ( F&P), you must be aware of and comply with your obligations under these regimes. The F&P Standards require that a person must be: Competent and capable; Act honestly, ethically and with integrity; Be financially sound. Central Bank of Ireland Conduct Standards: In addition to the responsibilities set out in this job description and the corresponding Statement of Responsibilities, as well as TD’s own policies and procedures, you are required to comply at all times with the CBI Conduct Standards. Common Conduct Standards: Acting with Honesty and Integrity. Acting with Due Care and Diligence. Co-operating in Good Faith and Without Delay. Acting in the Best Interests of Customers and Treating Them Fairly and Professionally. Operating in Compliance with Standards of Market Conduct and Trading Venue Rules. TD Policy Requirements: It is your responsibility to demonstrate that you are fully aware of and adhere to internal TD Policies that relate to you, your business or other businesses for which you have any level of responsibility. You must act with integrity and due skill, care and diligence in carrying out your duties. Your actions should always be able to satisfy high standards of scrutiny. Management should be kept fully informed at all times of all Regulatory and Compliance issues. If you are a Manager/Supervisor you are also responsible for ongoing and effective supervision of the employees under your direction and ensure their adherence to regulatory requirements. #J-18808-Ljbffr