Vp, Compliance, Td Wealth

4 weeks ago

Toronto, Canada TD Bank Full time

**Work Location**:
Toronto, Ontario, Canada

**Hours**:
37.5

**Line of Business**:
Compliance

**Pay Details**:
$170,000 - $255,000 CAD

**Department Overview**

The Global Compliance Department is responsible for overseeing regulatory compliance across TDBG in accordance with the Global Compliance Operating Framework. The team is accountable for promoting regulatory compliance by developing and maintaining compliance programs, including identifying and disseminating regulatory developments to businesses they support, maintaining Compliance policies, managing complaints and regulatory filings, providing relevant training, carrying out independent monitoring and oversight activities, reporting on the state of compliance to the Board, UDP and senior management, as needed, and providing advice and support, as required.

**Job Summary**

The Vice President, Compliance, TD Wealth & Insurance reports to the TDBG SVP, Chief Compliance Officer of TDBG.

**Individual Accountabilities**

Accountabilities adhere to the TD Global Compliance Department Mandate, follow the executive mandate for the role and are executed in accordance with the Regulatory Compliance Management (RCM) program and related standards. These include:

- Provide objective guidance, as well as independent challenge to the Corporate Functions areas on regulatory compliance risk management and conduct risk management matters.
- Regularly provide an independent compliance viewpoint to the Senior Executive Team leaders for each Corporate Function that includes insights on their risk management across all areas of Regulatory Compliance risk, their execution of their responsibilities under the RCM framework, and, where applicable, the efficacy of their Oversight Function responsibilities.
- Lead and maintain the TD Wealth + Insurance Compliance Programs to promote and foster a strong culture of integrity, ethics and regulatory
- Maintain practices and procedures to communicate to the business lines regulatory compliance requirements, standards and risks, and measures that should be taken to meet requirements and manage regulatory risks.
- Develop and maintain constructive relationships between Senior Business Management across TD and the Senior Compliance Leaders and regulatory agencies to build and maintain trust in TD by our regulators and our business partners.
- Provide routine and regular reporting of activities, issues and events, through appropriate channels.
- Maintain positive, honest, transparent and constructive relationships with regulators.
- Share early indications of significant regulatory issues that could significantly impact earnings or reputational risk with Corporate Segment leaders.
- Attract and develop top talent within the team and build a strong succession plan for critical roles.

**Key Shared Accountabilities**
- With 1st Line Business - Assist the business in the proactive assessment of regulatory risks and development of strategic risk mitigation plans.
- Facilitating co-ordination between compliance teams in any regional offices in Canada, and partner with Wealth + Insurance Compliance teams in the US.
- Operate as a key member of the Compliance Senior Executive Team, the Compliance Teams and the Wealth and Insurance Leadership Teams
- Representing Wealth + Insurance on various forums and facilitating coordination with other internal control functions as required, e.g. Internal Audit and Operations.
- The strategy and coordination of regulatory exams and investigations.
- Contribute to the direction of TDBG compliance programs.
- Represent TD Corporate Channels legal entities with regulators and in external fora.
- Manage a team of compliance professionals

**Job Requirements**
- University degree required: Post Graduate Law degree preferred
- 10+ years of relevant Wealth & Insurance business experience
- Exhibits confident presentation and facilitation skills and strong interpersonal and leadership skills to facilitate working with business and senior management at all levels
- Familiarity with regulations and compliance strategies and risk management; possesses and demonstrates expertise in the 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
- Ability to work in a fast-paced environment and manage multiple priorities
- People leadership and management experience focused on talent development and coaching to nurture a high performing team
- Ability to operate in an evolving, sometimes ambiguous, matrixed environment.
- Strategic thinker; has excellent judgment, achieves the right risk/reward balance
- Demonstrates ability delivering on objectives, focuses on what matters and can work across silos to build effective working relationships
- Transparent

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