Senior Manager, Regulatory Compliance

4 weeks ago

Toronto, Ontario, Canada TD Full time
Job Description

As a Senior Manager, Regulatory Compliance, you will be responsible for overseeing Regulatory Compliance across TD in accordance with the Global Compliance Department Mandate, Framework and Standards.

This includes independently assessing the adequacy, adherence, and effectiveness of Regulatory Compliance Management (RCM) programs and controls in the business.

The department also delivers objective guidance and independent challenge to the business, proactively managing regulatory change and providing trusted and reliable reporting, advice and opinion to senior leadership and the Board on the state of regulatory compliance risks, controls, and outcomes.

As part of Enterprise Corporate Office Compliance (COC), you will provide leadership of the RCM program engaging with Corporate Functions that are Oversight Functions (accountable for RCM oversight of laws, rules, and regulations) and Risk Owners (manage controls to mitigate regulatory compliance risk).

As a Second Line Compliance Function, you will provide objective advice and independent challenge of Corporate Functions adherence to the RCM Framework and Standards and broader Compliance programs and will report to the AVP, Enterprise Corporate Office Compliance.

Key Responsibilities
  • Provide trusted advice, guidance and review and challenge to Oversight Functions and Risk Owners in alignment to the RCM Framework and Standards.
  • Lead complex discussions with an Executive stakeholder group, gain consensus and drive appropriate outcomes.
  • Articulate regulatory compliance risk issues in a simplified, easy to understand manner in communication and reporting to Executive Committees and the Board.
  • Prepare Executive communication, briefing materials, policies and standards, departmental procedures.
  • Develop strong working relationship and partner with other Compliance Units, including US Compliance, on RCM Program requirements.
  • Champion the Compliance Programs by leading initiatives, forums, discussions and representing COC at Corporate Functions meetings, committees and working groups.
  • Keep abreast of emerging issues, trends and evolving regulatory requirements and assess potential impacts.
Requirements

Undergraduate degree.

TD is a leading bank in North America, with a presence in Canada, the US, and around the world. We're guided by our vision to be a better bank and our goal to enrich the lives of our customers, communities, and colleagues.

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