Vp, Regulatory Reporting

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VP, Regulatory Reporting
role at
TD
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VP, Regulatory Reporting
role at
TD
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.
Work Location
:
Dublin, Ireland
Hours
35
Line Of Business
Finance
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:
Vice President, Regulatory Reporting
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.
The designated Controlled Functions (CFs) of this role are:
CF 2 - Ensuring, controlling or monitoring compliance by a regulated financial service provider with its relevant obligations
SEAR:
This role is
not
in scope under the Senior Executive Accountability Regime "SEAR".
Material Risk Taker:
No
Business/Product Group:
Finance
Location:
Dublin, Ireland
Committee Membership:
None
Reports to:
VP, Finance
Direct Reports:
No
Please note that the information set out in this job description is intended to be consistent with your primary activities and areas of responsibility as a regulated Controlled Function role in scope of the Central Bank of Ireland (CBI) Fitness & Probity Regime under the Central Bank Reform Act 2010.
The contents of this job description may need to be amended in the event that your responsibilities change.
If at any time you think that your responsibilities set out in this job description have changed, you should contact Human Resources as soon as possible.
Position Summary:
(Overview of key purpose and accountability of the role)
This is a permanent position, supporting the TD Securities Finance team in Dublin for regulatory reporting, with primary focus on TDGF Regulatory Reporting.
The successful candidate will act as first review of returns, both external and internal, notwithstanding preparation of external and internal regulatory reporting of the Ireland subsidiary of the Toronto Dominion Bank as and when required.
The role includes managing the 4 person team in the VPs absence ensuring all deliverables are still met.
It will be necessary to build and maintain a strong internal control environment to ensure that all deliverables are accurate and submitted on a timely basis.
Specific Responsibilities
This role requires:
In depth Regulatory reporting experience within financial services, with detailed knowledge of full FINREP and Irish statistical reporting desirable.
5+ years post qualified accountant with experience of working within Financial institutions.
Ability to coach and mentor junior staff
Strong team working skills are essential.
Outstanding analytical skills with an inquisitive mindset to identify and swiftly resolve issues.
Proven organizational and multi-tasking skills to be able to juggle competing priorities.
Excellent communication and presentation skills to provide guidance to the local and Head Office finance teams on specific issues.
The development and maintenance of good relationships with key stakeholders and the ability to effectively communicate recommendations.
Ability to take ownership of tasks and develop/improve processes where necessary.
Excellent Excel, Word and Power Point skills to support the high-quality deliverables required.
Key Deliverables
Initial review of both internal and external regulatory submissions
Involved in preparation of prudential returns (including reporting of Capital, Liquidity, Large Exposures, Asset Encumbrance & Leverage Ratio reporting) as and when required.
Review/Preparation of daily MI reporting to senior management.
Reviewing reporting procedures, identifying problem areas and liaising with relevant persons to resolve issues as they arise;
Maintaining a level of awareness with respect to new/existing business areas and associated financial products;
Maintaining a level of awareness of any regulatory developments that may impact the reporting process as well as a sound knowledge of regulatory reporting (compliance) rules and regulations;
Initiate plans to improve processes, where possible;
Establish relationships with relevant persons internal and external to the organization to ease the transfer and communication of information on a timely basis;
Assist where required in all aspects of regulatory risk analysis for all the UK and Irish entities, including Board governance, input into regulatory policies, competence around relevant regulatory supervisory statement and policy.
Own ad-hoc specified local and global projects and deliver them within demanding timelines whilst maintaining a high standard of technical accuracy.
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.
Every employee is expected and required to follow ethical practices at all times, including compliance with applicable policies, legislation and regulations and support positive interactions with TDGF's stakeholders including clients, industry bodies, industry participants, public bodies, regulators and vendors.
Responsible for good conduct and for contributing to the identification and management of Conduct Risk within their team and function
Regulatory Requirements:
(CF role holders)
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.
You will promptly report to your supervisor(s) or manager(s) any instances in which you are aware of any violation or possible violation of such regulatory requirements by yourself or others.
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 the regime.
The F&P Standards Require That a Person Must Be
Competent and capable;
Act honestly, ethically and with integrity; and
Be financially sound.
Central Bank of Ireland Conduct Standards
Common Conduct Standards
In addition to the responsibilities set out in this job description, as well as TD's own policies and procedures (see below), you required to comply at all times with the CBI Conduct Standards.
The following Conduct Standards apply to you:
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.
It is your responsibility to read, understand and comply with TD's Code of Conduct and Ethics (Code) and corresponding regulations.
The Code establishes the standards that govern the way we deal with each other, our customers, shareholders, governments, regulators, suppliers, competitors, the media and the public at large.
You will be notified of changes to policies in a timely manner through announcements and/or intranet updates.
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.
You must deal with TD Management, Compliance, regulators and all control functions in an open and cooperative way and must disclose appropriately any information which TD Management, Compliance, regulators or control functions would reasonably expect to know.
You must ensure that you are fully aware of your management reporting lines and escalation procedures.
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.
You will promptly report to TD Management and Compliance any violation or possible violation of such regulatory requirements identified as part of your supervisory responsibilities.
You must take reasonable steps to demonstrate that you exercise due skill, care and diligence in managing and/or delegating your responsibilities outlined, appropriately.
It Is Your Responsibility To Be Fully Aware Of
The scope of your management responsibilities.
The TD Policies and regulatory requirements pertaining to the business/activities you are managing.
The competence level of the staff, if any, reporting to you.
The control limits and your ability, if any, to delegate them within your business.
Demonstrate that you receive adequate and appropriate management reporting.
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 investment we make in our colleagues to help them, and their families achieve their well-being goals.
Total Rewards at TD includes a base salary and several other key plans such as health and well-being benefits, including medical coverage, paid time off, career development, and reward and recognition programs.
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 require an accommodation for the recruitment / interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.
Seniority level
Seniority level
Executive
Employment type
Employment type
Full-time
Job function
Job function
Legal
Industries
Banking
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