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Manager, regulatory examinations

1 month ago

Toronto, Canada TD Full time

Lieu de travail :
Toronto, Ontario, Canada

Horaire :
37.5 heures

Secteur d’activité :
Gouvernance et Contrôles

Détails de la rémunération :
$91,200 - $136,800 CAD

La TD a à cœur d’offrir une rémunération juste et équitable à tous les collègues. Les occasions de croissance et le perfectionnement des compétences sont des caractéristiques essentielles de l’expérience collègue à la TD.

Description du poste :

ABOUT TD WEALTH
TD Wealth offers a full range of competitive wealth and asset management solutions to retail and institutional clients. We help individual and institutional clients protect, grow and successfully transition their wealth.

OVERVIEW OF THE ROLE & THE WEALTH REGULATORY AFFAIRS TEAM
The role of Manager, Regulatory Exams will be responsible to support the regulatory examination process for TD Wealth Lines of Businesses and control partners.

PRIMARY RESPONSIBILITIES

  • Stakeholder Engagement
    • Engage and meet with the Wealth lines of business and control partners regularly to understand existing and upcoming regulatory examinations.
    • Communicate with stakeholders in advance and help prepare for and conduct any assessments as appropriate.
  • Regulatory Examination
    • Support and coordinate regulatory examinations received from the Regulators.
    • Support the regulatory examination process, monitor and track response and regulatory compliance.
    • Assess / identify key issues and escalate to appropriate levels.
    • Develop program-based reporting to provide status updates.
  • Operational Improvements and Reporting
    • Proactively keep management informed of regulatory examination and compliance activities.
    • Promote strong compliance practices across the Wealth lines of business.

JOB REQUIREMENTS

  • 7+ years' experience in a financial institution preferably in a compliance role.
  • Strong analytical, critical thinking, and proactive problem management skills.
  • Excellent communication skills (oral and written).

Education

  • Completion of a University degree and/or equivalent work experience.
  • Professional designations in law or compliance are an asset.
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