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Manager, Compliance Business Oversight
3 months ago
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, Private Investment Counsel, TD Asset Management, TD Investment Services, Private Trust, and Private Banking. Key functions within the unit include the Chief Compliance Officers and their teams for each business line including Regulatory Compliance Management (RCM) Program Management, Reporting, Innovation, Registrations, Training, and other projects. A multi-disciplinary team of compliance professionals supports these activities. 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.
The team has an immediate need for a Manager, Compliance Business Oversight, with a focus on internal compliance reporting, innovation, and Wealth Compliance initiatives.
Responsibilities:
- Author, analyze and/or review senior and executive management reporting and board reporting.
- Work with executive team, business management/partners to develop proactive strategies, tactics, policies, and programs to effectively manage regulatory/compliance issues.
- Support in the development of Compliance enterprise-wide and Wealth Compliance department frameworks, policies, standards, procedures in coordination with management in line with TD's Compliance Program.
- Support opportunities to enhance innovation, workflow capabilities, and implementation of modernization initiatives to support technology enablement and digitization of Compliance capabilities.
- Work with the Senior manager and other knowledge management professionals in Compliance to adapt Wealth Compliance knowledge management functions to better leverage technology.
- Lead or contribute to cross-functional/enterprise initiatives as an organizational or subject matter expert helping to identify risk and provide guidance.
- Be the Data Steward representative for Wealth Compliance to promote alignment with enterprise and/or regulatory requirements.
- Contribute to the development of Compliance functional strategic priorities within their operational areas or field of specialty.
- Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts, participating in knowledge transfer within the team and Compliance.
Job 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.
- Analytical and problem-solving skills, including the ability to elicit requirements from business perspective, synthesize the information, and articulate those requirements in a manner that can be easily understood.
- 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.
- Strong people leadership skills, with the ability to define and articulate a compelling vision and engage a team in support of these goals.
- Knowledge of relevant Canadian financial industry legislation.
- Knowledge of information management and project management best practices including agile and waterfall system development methodologies and project management documentation.
- Strong research, investigative, and organizational skills.
- 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.
Additional Information:
- University or College degree and minimum five years of relevant business, Compliance, Legal or risk management experience preferred.
- Law degree (JD or LLB) preferred. Relevant training and industry certifications, e.g. Canadian Securities Course, are desirable.
- Experience in compliance or risk management programs is highly-desirable, with preference for candidates who can demonstrate development of program elements and/or implementation of change management programs.
- Demonstrated excellence in business presentation skills including verbally, in writing, and in management report generation required.
- Experience in retail wealth management or securities compliance is considered an asset.
- Experience in Project Management discipline is considered an asset.
