Next in our Transformation series, guest host Lucy Pearman talks with Diane Minunni Callan of TD Bank about their ongoing development and enhancement of compliance programs and regulatory change management processes – from ESG to AI.
Diane Minunni Callan is the SVP, Head of Compliance – Enterprise Corporate Office, Regulatory Change and Academy at TD. Diane leads the bank’s Enterprise Corporate Office Compliance (excluding. U.S.) program. In this role, she is responsible for leading the enterprise in the ongoing development and enhancement of the corporate office functions’ compliance programs. Diane is also responsible for Compliance’s regulatory change management process covering all business segments globally. Diane is responsible for partnering with Compliance teams, business leaders and control functions to keep TD business leaders updated on all current and potential business conduct regulations and guidance. In addition, Diane is responsible for TD’s Compliance Academy, a dedicated in-house training program for Compliance team members focused on the knowledge and skills that promote core competencies and excellence in Compliance. Prior to her role at TD Bank, Diane was Chief Compliance Officer, CRA Officer and AML Officer for TD Bank USA, N.A, TD Waterhouse Bank, N.A and CTUSA, FSB. She has also overseen Insurance Management and Human Resources. Her career in banking also includes her roles at First Federal Savings and Loan Association of Rochester, in Rochester, NY and the Office of Thrift Supervision, Department of the Treasury. Diane is a Certified Regulatory Compliance Manager and a Certified Anti-Money Laundering Specialist.
Lucy Pearman is the global leader for Protiviti’s TRANSFORM Risk and Compliance practice and focuses on innovating the field of risk management. She has more than 20 years of experience leading complex change initiatives across a variety of organizations to optimize their business performance through operational effectiveness, enhanced governance, process automation and emerging technologies.
01:57 Career Journey in Risk
04:12 TD Bank Transformation
05:08 Regulatory Challenges & Opportunities
07:06 Leveraging Emerging Technologies
13:14 Rants & Revelations
14:27 Rapid Fire Round
I would say the first thing you need to do to embrace technology is to actually know your compliance management program, your risk management program, and that you need to know how technology can enable what you already have in place.
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