Work Location:Fort Lauderdale, Florida, United States of America
Hours:40
Pay Details:$98,160 - $159,270 USD
TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.
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:Technology Solutions
Job Description:The Regulatory Exam Management Lead is responsible for the end-to-end coordination and execution of regulatory examinations, supervisory reviews, and ongoing regulatory engagements impacting Technology and related business functions. This role serves as the central point of coordination between Regulatory Program Management (RPM), executives, business stakeholders, compliance partners, and subject matter experts to ensure examinations are managed effectively and regulatory commitments are delivered accurately, completely, and on time.
The successful candidate will drive exam readiness activities, manage regulator requests for information (RFIs), coordinate formal regulator meetings, oversee executive communications, and provide leadership throughout the examination lifecycle-from preparation and fieldwork through supervisory letters, findings management, and closure activities.
Key AccountabilitiesRegulatory Exam Management- Lead the end-to-end management of regulatory examinations, supervisory reviews, deep dives, and targeted assessments.
- Serve as the primary point of contact for Technology-related regulatory engagements.
- Coordinate regulator Information Requests (IRs), Additional Requests (ARs), and ongoing inquiries.
- Develop and execute examination strategies, timelines, and stakeholder engagement plans.
- Track milestones, deliverables, dependencies, risks, and escalations throughout the examination lifecycle.
- Ensure responses are complete, accurate, defensible, and submitted within regulatory timelines. Exam Readiness & Stakeholder Coordination
- Lead readiness activities in advance of regulatory examinations to identify key stakeholders, potential risk areas, and anticipated lines of inquiry.
- Coordinate working sessions, preparedness reviews, and executive briefing meetings.
- Facilitate collaboration across Technology, Risk, Compliance, Legal, Audit, and business partners.
- Build strong relationships with senior executives and regulators to support successful examination outcomes.
Regulatory Responses & Quality Assurance- Coordinate collection, review, and submission of regulatory artifacts and supporting evidence.
- Ensure appropriate governance, quality assurance, redaction, and approval processes are followed.
- Challenge responses where necessary to improve accuracy, completeness, and regulatory defensibility.
- Maintain organized documentation repositories and audit trails supporting regulatory submissions.
Formal Regulator Engagements- Coordinate examination kickoffs, status meetings, deep dives, onsite sessions, and exit meetings.
- Facilitate the preparation of agendas, presentation materials, briefing documents, and speaking notes.
- Conduct stakeholder preparation sessions and executive dry runs.
- Capture meeting outcomes, commitments, action items, and examiner feedback.
- Reporting & Executive Communications
- Develop executive-level status reporting and examination dashboards.
- Prepare concise updates highlighting progress, key decisions, emerging risks, and outstanding actions.
- Escalate issues that could impact submission timelines, examination outcomes, or regulatory commitments.
- Provide regular reporting to senior leadership and governance forums.
Findings & Remediation Oversight- Support management responses to regulatory findings and recommendations.
- Coordinate remediation planning, ownership assignment, milestone tracking, and governance reviews.
- Monitor progress and ensure timely closure of regulatory commitments.
- Partner with Risk, Compliance, Audit, and business stakeholders to validate remediation activities.
Education & Experience:- Bachelor's degree preferred
- Information security certification / accreditation an asset
- 7+ years of relevant experience
- Expert knowledge of IT security and risk disciplines and practices
Preferred Qualifications :- 7+ years of experience in regulatory affairs, regulatory exam management, risk management, compliance, audit, cybersecurity, technology governance, or operational risk.
- Demonstrated experience leading regulatory examinations involving federal or international regulators.
- Strong understanding of regulatory supervision, examination methodologies, and governance frameworks.
- Exceptional stakeholder management and executive communication skills.
- Proven ability to manage multiple concurrent examinations and complex cross-functional initiatives.
- Strong project and program management skills with experience managing competing priorities and deadlines.
- Professional certifications such as PMP, CISA, CRISC, CISSP, CGRC, or equivalent.
- Experience supporting regulatory engagements with banking regulators (e.g., OCC, FRB, FDIC, CFPB, OSFI, PRA, MAS, APRA, or equivalent).
- Experience within financial services, banking, technology risk, cybersecurity, or operational resilience.
- Experience preparing executive-level presentations, briefing materials, and regulatory submissions.
Hybrid onsite Location : 5900 Fort Lauderdale, Florida
Physical Requirements:Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%
- Domestic Travel - Occasional
- International Travel - Never
- Performing sedentary work - Continuous
- Performing multiple tasks - Continuous
- Operating standard office equipment - Continuous
- Responding quickly to sounds - Occasional
- Sitting - Continuous
- Standing - Occasional
- Walking - Occasional
- Moving safely in confined spaces - Occasional
- Lifting/Carrying (under 25 lbs.) - Occasional
- Lifting/Carrying (over 25 lbs.) - Never
- Squatting - Occasional
- Bending - Occasional
- Kneeling - Never
- Crawling - Never
- Climbing - Never
- Reaching overhead - Never
- Reaching forward - Occasional
- Pushing - Never
- Pulling - Never
- Twisting - Never
- Concentrating for long periods of time - Continuous
- Applying common sense to deal with problems involving standardized situations - Continuous
- Reading, writing and comprehending instructions - Continuous
- Adding, subtracting, multiplying and dividing - Continuous
The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.
