Compliance Business Oversight Manager

2 weeks ago

Toronto, Canada TD Bank Full time

402650BR

Anti-Money Laundering / Compliance & Regulatory Relations

Toronto, ON

March 20, 2023

Company Overview

Department Overview

The Global Compliance Department is responsible for overseeing Regulatory Compliance across TDBG in accordance with the Global Compliance Oversight Framework (GCOF). This includes ensuring that businesses are aware of the legislation under which they are governed and providing advice and support as required. The team is also accountable for promoting regulatory compliance by developing and maintaining compliance programs, including relevant training, carrying out independent monitoring and oversight activities and meeting reporting requirements.
- The Transformation, Enablement, and Customer Experience & Platforms (TECE-P) Compliance Team provides oversight and proactive objective guidance and challenge to TECE-P businesses, with the aim of fulfilling the Compliance Department Mandate and mitigating regulatory compliance risk.

**Job Description**:
Are you inspired by the opportunity to forming new relationships with business and control partners across the Bank? Do you thrive in an environment of change? The Transformation Enablement and Customer Experience & Platforms (TECE -P) Compliance team is looking for an experienced governance professional to provide Compliance oversight and advice to our business partners in the TECE, Platforms and Technology functions.

In this role, you will support Compliance colleagues and business partners as they transition into the Next Evolution of Work (NEW) framework. NEW brings colleagues from different parts of the bank together into small teams with clear mandates, dedicated funding, and a culture of empowered decision-making. NEW delivers better customer outcomes, faster; simplifies our operating model; and unleashes our talent. This newly created Compliance role will work closely with Risk Marketplace (RMP) and governance functions in TECE, Platforms and Technology.

We are looking for an experienced governance professional with strong drive to learn and ability to adapt to change. In this role, you will guide and challenge the business as a 2nd line of defense control partner. A strong risk mindset and outstanding communication skills are must haves for this role.

Responsibilities include:

- Working with Global Compliance teams to support NEW Journey and Platforms stand-ups
- Develop and provide training to Compliance colleagues and business partners regarding Compliance support model for NEW
- Review features (initiatives) and provide advice on regulatory requirements, controls, and regulatory risk mitigation
- Detect and mitigate potential violations of regulatory or internal policy requirements; monitor and assess effectiveness of business (1b) regulatory control testing; and support development and execution of testing and monitoring programs
- Assist with responding to regulatory examinations and investigations, completing required filings, and reporting to regulators
- Assess the overall state the business’ Compliance with regulatory requirements, including the effectiveness of their Regulatory Compliance Management (RCM) program
- Report on existing and emerging regulatory compliance issues and risks to Compliance senior management, business senior management, and regulators as required
- Keep current on emerging trends and grow knowledge of the business
- Lead special projects and tasks as required
- Contribute to a fair, positive, and equitable environment that supports a diverse workforce

**Requirements**:

- Compliance, Risk Management, Governance, and Privacy related experience
- Strong understanding of governance, risk and compliance frameworks
- Excellent written and verbal communication skills
- Effective negotiator and able to navigate through conflicts
- Strong attention to detail and exceptional organizational skills
- Able to work in a fast-paced and ambiguous environment
- Able to manage multiple priorities and stay resilient under pressure
- Strong interpersonal skills with the ability to interact at all levels of the organization
- Proactive, confident, and proven record of making an impact and influencing others
- Able to think strategically and adapt to ongoing change
- Undergraduate degree, equivalent post-secondary education
- Risk and compliance experience within banking industry is preferred

Additional Information

Specific Educational Requirements/Accreditations:
Post -Secondary education and/or equivalent working experience

Hours

37.5

Inclusiveness

At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live and serve. If you require an accommodation for the recruitment/interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please l

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