Manager, Compliance Business Oversight
1 month ago
Manager, Compliance Business Oversight page is loaded Manager, Compliance Business Oversight Apply remote type Hybrid locations TD Centre - South - 79 Wellington Street West time type Full time posted on Posted 5 Days Ago job requisition id R_1340238
Work Location:
Toronto, Ontario, CanadaHours:
37.5Line of Business:
CompliancePay 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:
Manager, Business Compliance Oversight (Regulatory Change Management)
- 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, Wealth Compliance and their team collaborate and support TD Wealth Chief Compliance Officers and Wealth businesses in certain Compliance areas, including Regulatory Compliance Management (RCM) Program Management, Regulatory Change 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, Business Compliance Oversight.
- Job Details
Reporting to the Senior Manager, Regulatory Change Management, the Manager, Compliance Business Oversight provides objective guidance, support and advice to the Wealth businesses in understanding and implementing the changing regulatory/compliance requirements to promote strong compliance controls and processes to mitigate inherent associated risks in line with the Bank's risk philosophy and strategic direction.
The Manager, Compliance Business Oversight accountabilities will include, but not be limited to:
- Identify new and changing laws, regulations and regulatory policies applicable to TD Wealth's lines of business, working with partners in Legal, Privacy and AML as required to interpret potential impacts, conduct risk assessments and assign ratings, and identify necessary operational changes.
- Communicate regulatory changes to a broad array of stakeholders, including Compliance, Governance & Control and Legal, to affected business units and functions, and provide appropriate compliance advice and guidance.
- Manage high risk regulatory change management projects, track progress and advise management and other key stakeholders of status of initiatives, including escalating issues in a timely manner where projects may face challenges (e.g. deadlines, resources etc.)
- Lead in the preparation of comment letters to regulators for proposed changes to existing or new regulations
- Prepare summaries, presentation, briefing notes, and any other required documentation to effectively report on the status or regulatory changes
- Actively manage relationships with internal and external business partners/stakeholders, corporate and/or control functions to develop productive working relationships and alignment with enterprise and/or regulatory requirements.
- Represent Compliance on internal or external committees relating to regulatory change.
- Keep current on emerging issues, trends, and evolving regulatory requirements and grow knowledge of the business, related tools and techniques.
- Deliver relevant subject matter expertise and Compliance advice to business management.
- Identify and assist in the development and implementation of appropriate Compliance policies and procedures and controls, including maintaining and modernizing the regulatory libraries, compliance manuals and other key documents to support an effective compliance program.
- Contribute to the Compliance and business self-assessments, reports and executive, Board or committee reports.
- Contribute to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences.
- Provide document management leadership in support of the Wealth Compliance program, develop and carry out an efficient documentation, support policy and procedures development and filing system
- Developing analysis and insights, preparing and delivering management reporting necessary to promote accurate and thorough measurement consideration of risk factors.
- Implement policies and procedures to address applicable Regulatory Compliance Management Standards including regulatory change, controls and inventory, issues management, monitoring and testing
- Taking initiative to identify and recommend improvements in own job function, researching and/or investigating issues requiring resolution to execute on assigned tasks
- Providing thought leadership and/or industry knowledge expertise and participating in knowledge transfer within Compliance.
- Keeping Senior Manager and senior management informed and up-to-date about the escalations/status/progress of projects and/or relevant issues as they arise.
- Special projects
EXPERIENCE & EDUCATION
- University degree, Law degree (JD or LLB) preferred
- Minimum 5+ years of relevant business, Compliance, Legal or risk management experience preferred
- Experience in retail wealth management or securities compliance is considered an asset
- Canadian securities industry courses or training, project management, change management training
- Expertise in securities and/or banking regulations
- Strong influence skills, with the ability to work collaboratively across multiple management teams
- Ability to work independently and proactively, with support of the AVP on key issues
- Demonstrated strong writing skills, including drafting policies and procedures, regulatory communications
- Demonstrated excellence in business presentation skills including verbally, in writing and in management reporting
- Detail-oriented, highly organized, and able to work in a dynamic environment
- 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
- 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.
- 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.
- 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.
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. Learn more
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:
Ce poste n’exige pas la maîtrise d’une langue autre que le français./ This position does not require proficiency in a language other than French..Our Values
At TD we’re guided by our purpose to enrich the lives of our customers, communities and colleagues, and share a set of values that shape our culture and guide our behavior. In exchange for how our colleagues show up to help TD succeed, we are committed to delivering a colleague experience grounded in Impact, Growth and a Culture of Care. No matter where you work across TD, we empower you to make an impact at work and in your community, explore and grow your career and be part of our caring and inclusive culture.
Our Commitment to Diversity, Equity, and Inclusion
At TD, we’re committed to fostering an environment where all colleagues are encouraged to bring their authentic selves to work, experience equitable opportunities, and feel respected and supported. We’re dedicated to building an inclusive workforce that reflects the diversity of the customers and the communities in which we live and serve.
Helping to Make an Impact in Communities – TD Ready Commitment
TD has a long-standing commitment to help drive progress towards a more inclusive and sustainable future. That’s why we launched the TD Ready Commitment in 2018, now a multi-year North American initiative. Under the TD Ready Commitment, we are targeting a total of C$1 billion by 2030 in community giving across four key, interconnected drivers of change: Financial Security, Vibrant Planet, Connected Communities, and Better Health. It’s our goal to help support change, nurture progress, and contribute to making the world a better, more inclusive place for our customers, colleagues, and communities. Learn more: Canada | US | Europe & Asia Pacific
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