Compliance Oversight Officer

6 days ago

London, Canada TD Bank Full time
Compliance Oversight Officer

Work Location: London, United Kingdom

Hours: 35

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:

Provide leadership to ensure the global compliance program that supports the asset management business aligns to the Regulatory Compliance Management program elements. The role will require working closely with a broad array of stakeholders in Compliance, Governance & Control, Legal and the business both in Europe, North America and Asia.

Accountabilities will include, but not be limited to:

  • As Compliance Oversight Officer for TD Epoch UK, assist the business in upholding a strong culture of compliance and provide independent oversight of compliance with applicable laws, regulations and guidelines using a risk-based approach.
  • Assess the adequacy of, adherence to, and effectiveness of day-to-day Regulatory Compliance Management controls, based on independent monitoring and testing conducted, active participation on committees and working groups and other data sources.
  • As determined by Compliance Senior Executive Team (CSET), assist in providing required information for the Compliance Department Self-Assessments which in turn support the TD Global CCO Opinion on RCM program effectiveness.
  • In support of the global compliance program, implement and maintain independent monitoring and testing.
  • Proactively manage regulatory change by supporting the identification, interpretation and assessing the impact of new regulatory requirements as well as assisting the business in implementation.
  • Working within the larger global compliance framework, maintain practices and procedures to communicate regulatory compliance requirements and standards to manage regulatory risks.
  • Develop and maintain robust relationships between Senior Business Management across TD and the Senior Compliance Leaders to facilitate strong relationship development and regular reporting.
  • Provide routine and regular reporting of actual or potential non-compliance including emerging trends and risks.
  • As Compliance Oversight Officer, act as key regulatory contact for local securities regulators with respect to TD Epoch UK and maintain positive, honest, transparent and constructive relationships with regulators.
  • Share early indications of significant regulatory issues that could materially impact earnings, result in regulatory sanctions or reputational risk with Business Segment leaders, Risk Partners and Compliance Management.
  • Provide subject matter expertise on projects and initiatives.

Job requirements:

  • Deep regulatory, industry and operational knowledge.
  • Experience in compliance or risk management programs, with preference for candidates who can demonstrate development of program elements and implementation regulatory change management.
  • Deep experience and understanding of investment management products and strategies.
  • Ability to assess compliance and other risks to prioritize issues and properly balance competing risks and priorities.
  • Registration as Compliance Oversight Officer for TD Epoch UK with local UK securities regulator.
  • Ability to manage large number of complex issues and priorities effectively at the same time, and juggle priorities as demands warrant.
  • Demonstrated ability to provide actionable advice to assist the business in achieving business goals in a compliant manner.
  • Ability to work collaboratively across multiple management teams.
  • Analytical and problem-solving skills, including the ability to elicit requirements from the business perspective, synthesize the information and articulate those requirements in a manner that can be easily understood.
  • Ability to articulate critical issues for escalation.
  • Solid research, investigative and organizational skills.

Specific Educational Requirements / Accreditations

  • University or College degree and minimum of 7+ years relevant business, Compliance, Legal or risk management experience preferred.
  • Law degree (JD or LLB) preferred. Relevant training and industry certifications are desirable.
  • Undergraduate degree with a major/specialty in investment industry is an asset.

Inclusiveness

At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected, and supported.

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.

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.

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