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Senior compliance business oversight
3 months ago
Lieu de travail:
Canada
Horaire:
37.5
Secteur d’activité:
Conformité
Détails de la rémunération :
Nous avons à cœur d’offrir une rémunération juste et équitable à tous nos collègues. En votre qualité de candidat ou de candidate, nous vous encourageons à avoir une conversation franche avec votre recruteur et à poser des questions sur la rémunération, notamment les particularités salariales de ce poste.
Description du poste:Job Description Summary
Provide objective guidance, support and advice in support of the execution of Compliance programs for the Canadian Wealth Businesses with a particular focus on marketing collateral, social media, outside business activities, mutual fund sales practices, campaigns and marketing initiatives.
Key Accountabilities- Be a subject matter expert on assigned projects and initiatives with a focus on regulatory requirements, policies and procedures, effective controls, supervision and testing expectations
- Develop and maintain strong knowledge of the applicable regulatory and internal requirements, in particular NI 81-102 (Part 15), NI 81-105, NI 31-103, IIROC Rule 3600 and associated guidance
- Provide objective guidance, challenge and support on other regulatory compliance related matters raised by the business
- Maintain and update resource and training materials used by the Wealth businesses
- Support Wealth Compliance team members and Compliance management on a variety of projects, initiatives and other ad-hoc requests
- Maintain strong and collaborative relationships with other Compliance teams, corporate and control functions including Legal, ORM, etc.
- Assist with management reporting and the maintenance of the compliance issues database
- Flexibility to adapt to changing priorities combined with an attention to detail and strong organizational skills to thrive in a dynamic environment.
- Ability to articulate critical issues for escalation and decisions while maintaining ownership of deliverables.
- Understanding of Compliance Program and law and regulation as it applies to the financial services sector.
- Knowledge of relevant Canadian financial industry legislation.
- Excellent verbal and written communication skills, including public speaking/presentation skills and well developed listening and negotiation skills.
- Ability to deal with conflicting points of view and to effect creative and responsive solutions.
The Global Compliance Department is responsible for overseeing Regulatory Compliance across TD Bank Group in accordance with the Global Compliance Operating Framework. Compliance is responsible for developing and maintaining the processes by which Businesses are made aware of the legislation and regulation, under which they are governed, as well as compliance trends, emerging risk areas and regulatory changes.
Wealth Compliance works pro-actively with the Canadian Wealth businesses and various other departments within TD that provide support to these businesses. We ensure regulatory compliance; protect the interests of the firm, its employees and clients while supporting the sales and productivity objectives of our business partners.
Job Requirements- Minimum 7 years of work experience in the financial industry in a related function (compliance, risk, audit, legal, etc.)
- Experience in retail wealth management or securities compliance is considered an asset
- University degree/diploma
- Canadian Securities Course (CSC) and Conduct and Practices Handbook (CPH)
- Strong influence skills, with the ability to work collaboratively as well as independently
- Detail-oriented, highly organized, and able to work in a dynamic environment
- Demonstrated strong writing skills, including drafting process documents
- Able to manage tight deadlines and multiple competing priorities
- Bilingualism an asset
À propos de nous :
La TD est un chef de file mondial dans le secteur des institutions financières. Elle représente la cinquième banque en Amérique du Nord de par son nombre de succursales. Chaque jour, nous offrons une expérience client légendaire à plus de 27 millions de ménages et d’entreprises au Canada, aux États-Unis et partout dans le monde. Plus de 95 000 collègues de la TD mettent en commun leurs compétences, leur talent et leur créativité au service de la Banque, des clients qu’elle sert et des économies qu’elle appuie. Nous sommes guidés par notre vision d’être une meilleure banque et par notre objectif d’enrichir la vie de nos clients, de nos collectivités et de nos collègues.
Notre programme de rémunération globale reflète les investissements que nous faisons pour aider nos collègues et leur famille à atteindre leurs objectifs en matière de bien-être mental, physique et financier. La rémunération globale à la TD inclut le salaire de base, la rémunération variable et bien d’autres régimes clés, comme des avantages sociaux en matière de santé et de bien-être, des régimes d’épargne et de retraite, des congés payés, des avantages bancaires et des rabais, des occasions de développement de carrière et des programmes de récompenses et reconnaissance.
Renseignements supplémentaires :
Nous sommes ravis que vous envisagiez une carrière à la TD. Sachez que nous avons à cœur d’aider nos collègues à réussir dans leur vie tant personnelle que professionnelle. C’est d’ailleurs pourquoi nous leur offrons des conversations sur le perfectionnement, des programmes de formation et un régime d’avantages sociaux concurrentiel.
Perfectionnement des collègues : Un cheminement professionnel particulier vous intéresse ou vous cherchez à acquérir certaines compétences? Nous tenons à vous mettre sur la voie de la réussite. Vous aurez des conversations régulières sur le développement de carrière, le perfectionnement et le rendement avec votre gestionnaire. Une variété de programmes de mentorat et une plateforme d’apprentissage en ligne seront également à votre disposition pour vous aider à ouvrir de nouvelles portes.
Formation et intégration : Nous tenons à nous assurer que vous disposez des outils et ressources nécessaires pour réussir à votre nouveau poste. Dans cette optique, nous organiserons des séances d’intégration et de formation.
Processus d’entrevue : Nous communiquerons avec les candidats sélectionnés pour planifier une entrevue. Nous ferons notre possible pour communiquer par courriel ou par téléphone avec tous les candidats pour leur faire part de notre décision.
Mesures d’adaptation : L’accessibilité est importante pour nous. N’hésitez pas à nous faire part de toute mesure d’adaptation (salles de réunion accessibles, sous-titres pour les entrevues virtuelles, etc.) dont vous pourriez avoir besoin pour participer sans entraves au processus d’entrevue.
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