Manager, Regulatory Examinations

Work Location: Toronto, Ontario, Canada

Hours: 37.5

Line of Business: Governance & Control

Pay Details: $91,200 - $136,800 CAD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation-related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

ABOUT TD WEALTH

TD Wealth offers a full range of competitive wealth and asset management solutions to retail and institutional clients. We help individual and institutional clients protect, grow and successfully transition their wealth. There are five unique lines of business:

1. Advice: Our fastest growing division which includes financial planning, full-service brokerage and private client groups.
2. Direct Investing: Canada's largest direct investing brokerage, provides a full set of offerings to retail clients in Canada.
3. TD Asset Management (TDAM): A leading North American investment management company comprised of both retail and institutional clients.
4. US Wealth: Leverages the branches in TD's US retail arm to offer a suite of products and services to American customers.
5. Wealth Shared Services: National back-office support function serving all market-facing businesses across strategic editorial content, business management, business architecture, wealth product, analytics and reporting, and operations.
6. Wealth Governance & Control: National 1B team, advising and supporting the management of the overall risk, control and governance portfolio for TD Wealth.

G&C OVERVIEW

TD Wealth's Governance & Control (G&C) team partners with the Wealth businesses to design, implement, maintain and monitor effective internal controls and ensure business activities remain within TD Bank's risk appetite and comply with external regulatory requirements.

The team is responsible for ensuring timely and consistent implementation – across all Wealth businesses – of all risk, control and governance programs, initiatives, policies and strategic business projects. The Wealth Governance & Control team acts as the primary contact for the Wealth businesses, working closely with subject matter experts from each Wealth business line. The team works together with the business leaders to implement Wealth-wide Governance & Control methodologies, policy frameworks, standards and practices and are key members of enterprise projects/programs requiring Wealth representation.

OVERVIEW OF THE ROLE & THE WEALTH REGULATORY AFFAIRS TEAM

The role of Manager, Regulatory Exams will be responsible to support the regulatory examination process for TD Wealth Lines of Businesses and control partners. As they relate to the Enterprise Risk Framework, and assistance in the preparation and running of the Wealth Regulatory Examinations, as well as thought leadership on Pan-Wealth initiatives, standards with risk implications.

The Regulatory Affairs team is made up of four pillars:

1. Manager, Regulatory Examinations
2. Privacy
3. Regulatory Change
4. Tax Advisory & Oversight

JOB DESCRIPTION

The Manager role reports to the Senior Manager, Regulatory Exams and be a key member of the team, in supporting regulatory examination process for TD Wealth, working closely with partners across the organization including senior executives in the various Wealth lines of business, as well as Compliance, Legal, Risk Management, AML, Products, Credit, Tax, Operations, Technology/Delivery, among others. The role's mandate is to help promote a sustained culture of best practices and compliance through the timely collection, coordination and analysis of information. We are looking for a self-motivated and innovative individual who excels in a fast-paced deadline driven environment.

PRIMARY RESPONSIBILITIES

Stakeholder Engagement

1. Engage and meet with the Wealth lines of business and control partners regularly to understand existing and upcoming regulatory examinations.
2. Communicate with stakeholders in advance and help prepare in advance and conduct any assessments as appropriate to help prepare and review any identified risks or gaps with senior management.

Regulatory Examination

1. Support and coordinate regulatory examinations received from the Regulators.
2. Support the regulatory examination process, monitor and track response and regulatory compliance across the supported functions, while ensuring timelines are being met.
3. Assess / identify key issues and escalate to appropriate levels and relevant stakeholders and business management where required.
4. Develop program-based reporting to provide status updates, issues, KPIs, and action plans for the respective business area and continuously enhance reporting, as needed.
5. Consolidate information, summarize issues, analyze trends and provide regular reporting to senior management and lines of business partners using digitalization and visualization.

Operational Improvements and Reporting

1. Proactively keep management informed of regulatory examination, compliance activities, issues, and potential risk to Wealth.
2. Promote strong compliance practices and principles across the Wealth lines of business.
3. Promote strong risk management practices and principles across the business unit, while identifying opportunities for improvement and recommending appropriate solutions.

JOB REQUIREMENTS

Qualifications/Skills/Experience

1. 7+ years' experience in working within a financial institution preferably in compliance role, and/or regulator, or self-regulatory organizations, or consultant/advisory experience is considered a strong asset.
2. Strong analytical, critical thinking, and proactive problem management skills.
3. Excellent communication skills (oral and written) to communicate clearly at all levels, including ability to prepare executive level decks, memos and reports.

Technical Knowledge/Skills

1. Excellent Microsoft Excel and PowerPoint skills is a must, experience using business intelligence tools. Advanced skills with Microsoft product suite (Excel, PowerPoint, Visio, Power Platform etc).

Education

1. Completion of a University degree and/or equivalent work experience.
2. Professional designations in law or compliance or post graduate education (e.g., MBA) are an asset.

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.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

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 (Quebec only): Sans Objet

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