Associate Vice President, Wealth Compliance, TD Asset Management

Associate Vice President, Wealth Compliance, TD Asset Management Join to apply for the Associate Vice President, Wealth Compliance, TD Asset Management role at TD Securities Job Information Work Location: Toronto, Ontario, Canada Hours: 37.5 Line Of Business: Compliance Pay Details: $145,000 - $200,000 CAD Job Description Accountabilities adhere to the TD Compliance Department Mandate, follow the executive mandate for the role and are executed in accordance with key Compliance Program elements and processes established in the Enterprise Regulatory Compliance Management Framework. Key Responsibilities As Chief Compliance Officer for TD Asset Management Inc. (TDAM), and as Chief Compliance Officer of TD Waterhouse Private Investment Counsel Inc. (PIC) (for as long as requested), lead and maintain the Compliance Programs and conduct risk program (“the Compliance Program”) to assist the business in upholding a strong culture of compliance and provide independent oversight of the management of compliance with applicable laws, regulations and guidelines using a risk-based approach. Provide Compliance leadership in support of TDAM's global expansion plans, including the development of guiding principles and the build out the global compliance program for TDAM. As determined by Compliance Senior Executive Team (CSET), provide Department Self-Assessment to support the CCO Opinion which assesses effectiveness based on the degree of maturity in implementing, executing and evidencing each key element and process of the Enterprise RCM Framework. Assess the adequacy of, adherence to, and effectiveness of day-to-day Regulatory Compliance Management (RCM) controls in relevant Wealth business lines, based on independent monitoring and testing conducted, active participation on numerous business and control committees and working groups and other data sources and indicators, using a risk-based approach. Assess the governance, procedures and reporting that support and facilitate the execution of the elements of the Enterprise RCM Framework and processes and fulfillment of the TD Compliance Department's mandate. Support monitoring and testing program of the TDAM (and, if applicable, PIC) business lines. Proactively manage regulatory change by supporting the identifying, interpreting and assessing the impact of new regulatory requirements on the TDAM (and, if applicable, PIC) businesses as well as assisting the business in implementation. Maintain practices and procedures to communicate regulatory compliance requirements and standards and to manage regulatory risks. Provide trusted, independent and objective guidance to business lines on identifying and managing various business risks with particular focus on compliance risk and conduct risk. Act as primary regulatory contact for securities regulators with respect to TDAM (and, if applicable, PIC) and maintain positive, honest, transparent and constructive relationships with regulators. Act as a thought leader across Compliance in addressing significant challenges and issues. Oversee or own tasks including: regular reporting on Compliance Risks and matters to Compliance executives, business executives and TDAM (and, if applicable, PIC) Boards; reporting on results of second line monitoring and testing of business; provide risk-based regulatory compliance and conduct risk coverage for the TDAM (and, if applicable, PIC) business lines; effective 2nd line challenge to TDAM (and, if applicable, PIC) business lines; regulatory relationship management with Canadian securities regulators in respect of TDAM (and, if applicable, PIC). Additional Accountabilities And Partnerships With 1st Line Business – Build a supervisory structure within the 1st line business to strengthen RCM governance and control. With Legal and Risk Management – provide trusted, objective advice to help the business manage regulatory change and address regulatory risks; provide practical guidance on business and operational elements. With HR – coordinate training, investigations and disciplinary matters. Lead relationships with provincial securities regulators for TDAM and, if applicable, PIC. With Compliance executive members, support, lead, set the Compliance culture, people development and training. Qualifications Deep regulatory, industry and operational knowledge. TD Asset Management business acumen and organizational awareness. Ability to assess compliance risk to prioritize issues. Strong Control/Risk Management mindset. Leadership capabilities to drive and implement change; carry out TD's People Strategies to attract, retain, develop and engage a highly qualified team; and continue to evolve Compliance Program. Strong Leadership and People Management experience and skills. Expert communicator and relationship builder, with ability to work independently, think critically and make sound decisions. University degree required: Post Graduate degree preferred. Relevant training and industry certifications, including registration as Chief Compliance Officer (accreditations, proficiencies and course completions, e.g. Canadian Securities Course). Regulatory experience and 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 regulatory change management. Demonstrated excellence in business presentation skills including verbally, in writing, and in management report generation required. Experience in retail wealth management or securities compliance. Strong sense of personal ownership for effectively bridging technical and non-technical disciplines and stakeholders, and track record of doing so. Familiarity with regulations and compliance strategies and risk management; possesses and demonstrates expertise in advisory, policy, change management, project management and operations. Highest personal and professional integrity and standards to advance TD's vision and protect the brand. Strong verbal and written communication skills, including public speaking/presentation skills and well developed listening and negotiation skills at all levels. Advances TD's leadership development, colleague experience & diversity agenda. Strong relationship building and negotiation skills and the ability to interact with sensitivity and leadership to advance and influence the culture Compliance aims to promote. Transparent communicator and respected TD representative, both internally and externally. Strong problem solving & analytical skills, including the ability to comprehend a situation by breaking it down into its components and identifying underlying issues. Seniority Level Executive Employment Type Full-time Job Function Legal Industries Investment Banking #J-18808-Ljbffr