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Senior Manager, Business Compliance Oversight

2 months ago

Old Toronto Ontario, CA TD Bank Full time

Work Location: Canada

Hours: 37.5

Line of Business: Compliance

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:

Department Overview

The TD Wealth Compliance Department provides compliance advisory and second line oversight of TD Wealth businesses, including: TD Waterhouse Canada Inc. (an CIRO registrant that includes Private Investment Advice, Financial Planning, and Direct Investing), Private Investment Counsel (an OSC registrant), TD Asset Management (an OSC registrant), TD Wealth Insurance Services, Private Trust, and Private Banking.

The Associate Vice President, TD Asset Management Compliance Inc. (TDAM) and their team collaborate and support the TDAM Chief Compliance Officer and Wealth businesses in various Compliance areas. Assess the adequacy of, adherence to, and effectiveness of day-to-day Regulatory Compliance Management (RCM) controls with focus on the management controls and processes in TDAM, based on independent monitoring and testing conducted, active participation on numerous business and control committees and working groups and other data sources and indicators, using a risk-based approach. Given the range of businesses supported, and the breadth of applicable regulations, the day-to-day work of the group is both interesting and complex, requiring compliance and wealth management subject matter expertise.

Job Details

Reporting to the AVP, TDAM Compliance, the Senior Manager will adhere to the TD Compliance Department Mandate, and execute in accordance with key Compliance Program elements and processes established in the Global Compliance Operating Framework (GCOF). This role will engage with various stakeholders and advise on delivering effective compliance with changing laws and regulations to help ensure strong compliance controls and processes to mitigate regulatory compliance risks.

The Senior Manager accountabilities will include, but not be limited to:

  • Contribute in the maintaining the TDAM Compliance Programs and conduct risk program (“the Program”) to assist the business in upholding a strong culture of compliance and provide independent oversight of the management of compliance with applicable laws, regulations and guidelines using a risk-based approach.
  • Develop and maintain strong knowledge of the applicable regulatory and internal requirements, in particular NI 81-102, NI81-105, NI 81-107, NI 31-103, and associated guidance.
  • Support the RCM program, monitoring and testing of the TDAM business lines.
  • Act as a Wealth Compliance representative on TD Wealth regulatory change projects, provide appropriate regulatory guidance related to implementation of changes, and ensure regulatory compliance risks are identified and escalated.
  • Act as subject matter expertise on applicable regulatory change, emerging regulatory risks, trends, best practices, industry or market developments to ensure that anticipated regulatory changes are considered in business activities, strategic plans, policies and processes, and reporting.
  • Draft and update TD Wealth Compliance key documents including policies and procedures, compliance manuals and senior management reporting related to assigned regulatory change and ongoing matters.
  • Participate or lead as a member of the management team in training or presentations on key initiatives.
  • Lead collaborative work to design and implement stakeholder engagement plans, programs and projects to support strategic objectives as directed by the AVP.
  • Collaborate effectively with a broad range of internal stakeholders such as legal, business and control partners on various regulatory compliance reviews, assessments, issues, initiatives.
  • Develop and maintain robust relationships between Senior Business Management across TD and the Senior Compliance Leaders to facilitate strong relationship development and regular reporting.
  • Work with executive team, business management and partners to develop proactive strategies, tactics, policies, and programs to effectively manage regulatory compliance issues.
  • Support Wealth Compliance team members and management on a variety of projects, initiatives and other ad-hoc requests as assigned by AVP, Compliance.

EXPERIENCE & EDUCATION

  • University degree, with a major/specialty in investment industry accreditation (e.g., CIM) and/or CFA Institute’s Chartered Financial Analyst (CFA) is an asset.
  • Minimum 10+ years of relevant business, Compliance, Legal, Risk or investment management experience preferred.
  • Canadian securities industry courses or training, project management, change management training.
  • Experience in regulatory engagement and working with industry association committees.
  • Demonstrated excellence in business presentation skills including verbally, in writing, and in management report generation required.
  • Strong influence skills, with the ability to work collaboratively across multiple management teams.
  • Excellent verbal and written communication skills, including presentation skills.
  • Detail-oriented, highly organized, and able to work in a dynamic environment with changing priorities.
  • Ability to make sound business decisions.
  • Proven ability to develop collaborative business relationships.

OTHER REQUIREMENTS

  • A high degree of professionalism, poise and leadership and strong communication skills, with the ability to represent TD Wealth Compliance with multiple stakeholders across the enterprise and outside the organization.
  • Analytical and problem-solving skills, including ability to elicit requirements from business perspective, synthesize the information, and articulate those requirements in a manner that can be easily understood.
  • Ability to articulate critical issues for escalation and decisions while maintaining ownership of deliverables.
  • Ability to deal with conflicting points of view and to effect creative and responsive solutions.
  • Strong research, investigative and organizational skills.
  • Ability to work independently and proactively, with support of the AVP on key issues.

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 investments we make in our colleagues to help them and their families achieve their financial, physical, and mental well-being goals. Total Rewards at TD includes a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, 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
Your accessibility is important to us. Please let us know if you’d like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you

Language Requirement: N/A.

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