Avp Compliance, Td Wealth

3 weeks ago

Toronto, Canada TD Bank Full time

**TD Description**

Stay current and competitive. Carve out a career for yourself. Grow with us.

**Department Overview**
- Reporting to the VP, Compliance, Global Wealth & Insurance, the AVP will lead in the execution of the TD Wealth Compliance regulatory change management strategy & delivery.
- With 1st Line Business - provide guidance and challenge to the 1st line's ongoing development of regulatory compliance and conduct risk management program and culture to strengthen its ability to detect and mitigate compliance risk across all Wealth businesses
- 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, based on depth of expertise, to assist in arriving at actionable solutions
- With HR - coordination with respect to training, investigations, and disciplinary matters
- Lead relationships with regulators and industry associations to support business priorities
- With Compliance executive members, support, lead, set the Compliance culture, people development and training

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 (RCM) Framework. These include:

- Lead TD' strategic engagement and relationship management with Wealth and non-Wealth regulators with support from the CCOs for TDW, PIC and TDAM, and industry associations on regulatory changes, trends, emerging risks, and business priorities.
- Oversee, and manage regulatory risk across Wealth business lines by providing executive ownership of Compliance assessments of Wealth's risk management environment as well as Wealth Self-assessment and Compliance's policy development & maintenance to ensure adherence and alignment to Enterprise standards as well as timely, effective, and efficient issues identification, management reporting to ACoB, ERMC, Wealth Risk Committee and Wealth and Compliance business leaders
- Responsible for Wealth Compliance's conduct risk oversight program, providing trusted, independent, and objective guidance and challenge to the business lines and WSS on identifying and managing compliance and conduct risk and industry best practices
- Provide executive leadership to drive efficiency and effectiveness improvements in Wealth Compliance by accelerating technology enablement, business process improvement and the use of collaboration tools, enhanced data analytics, automation and machine learning to advance the Wealth Compliance programs leveraging TD expertise
- Lead enhancement of the Compliance program to effectively respond to changing/increasing Compliance oversight mandate and ensure alignment with the evolving Enterprise RCM Program and Standards
- As determined by CSET, provide Department Self-Assessment (CSA) annually 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 Regulatory Compliance Management Framework
- Assess the governance, procedures and reporting that support and facilitate the execution of the GCOF elements and processes and fulfillment of the TD Compliance Department's mandate
- Provide trusted, independent and objective guidance and strategic insights to Wealth Group Head and other Wealth business leaders on identifying and managing various business risks with particular focus on industry trends, compliance risk and conduct risk
- Act as a thought leader across Compliance in addressing significant challenges and issues
- Develop and maintain robust relationships between Senior Business Management across TD.

**Job Requirements**

**Key capabilities**
- Deep regulatory, industry and TD Wealth and Compliance operational knowledge
- Ability to assess compliance and other risks to prioritize issues and properly balance competing risks and priorities
- Strong Control/Risk Management mindset
- Forward looking and able to drive and implement change
- Data fluency & leveraging technology to drive productivity and effectiveness improvements
- Strong people leader which facilitates the Carrying out TD's People Strategies to attract, retain, develop and engage a highly qualified team
- Ability to manage large number of complex issues and priorities effectively at the same time, and juggle priorities as demands warrant.

**Key leadership behaviors**
- Influences change both internally and externally, maintaining a strong connection to TD's vision and purpose
- Model TD's shared commitments and guiding principles
- Exemplifies excellent judgement and has well established credibility and trust with stakeholders (internally and externally)
- Work collaboratively with others as we innovate and simplify 'how we work'
- Leads both strategically and oper

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