Senior Manager, Regulatory Change Specialist
4 days ago
The Senior Manager, Regulatory Change position at TD Bank is a critical role that requires a strong understanding of regulatory requirements and compliance. As a member of the Regulatory Affairs team, you will be responsible for managing the Regulatory Change team and providing leadership, guidance, and expertise on regulatory changes that impact TD Wealth.
Key Responsibilities- Stakeholder Engagement
- Act as a central resource for internal business partners regarding regulatory changes and provide guidance when required.
- Build effective relationships with internal stakeholders, capable of collaborating and fostering relationships within the Business and with cross-functional working groups.
- Provide direction on emerging and new/existing regulatory change in terms of operational implications.
- Working with internal legal counsel, team members, and other stakeholders to ensure content is accurate and compliant with applicable laws, rules, and governing regulatory bodies.
- Leverage your expertise as a business advisor on regulatory changes and help the business understand and comply with evolving regulatory requirements.
- Participate and represent TD Wealth in regulatory-related committees and project working groups.
- Regulatory Reporting & Operations
- Prepare and present regulatory materials to executives across Wealth on emerging, new, and existing regulatory changes that impact TD Wealth.
- Proactively keep management informed of regulatory activities, issues, status updates, KPIs, and potential risk to Wealth with clear and concise impact assessments on potential exposures and compliance timelines.
- Conducting industry research and staying current on best practices, securities products, and emerging risks and technologies.
- Consolidates regulatory information, summarizes issues, analyzes trends, and provides regular reporting to senior management and lines of business partners using digitalization and visualization.
- Promote strong regulatory change management practices and principles across the business unit and Wealth lines of business, while identifying opportunities for improvement and recommend appropriate solutions.
- People Leadership
- Responsible for management of the overall team providing both leadership, guidance, and expertise; ensures team adheres to enterprise frameworks and methodologies.
- Support team in staying knowledgeable on emerging issues, trends, and evolving regulatory requirements and assess potential impacts to the Bank.
- Lead a high-performing team; provide on-going feedback and performance reviews, coach, and develop employees and ensure performance management activities are undertaken and completed for all employees.
- Support an environment where team freely escalates business challenges; facilitate change through positive reinforcement of milestones and successes.
- Recruit for all hires to ensure a highly diverse, qualified workforce to achieve business objectives.
- Establish and foster a cohesive team; promote a fair and equitable environment that supports a diverse workforce and encourage the team to achieve common goals and objectives.
- 10 years' experience in regulatory change, compliance, or consultant/advisory experience.
- People management experience, in terms of hiring, goal setting, coaching staff, and setting overall direction and strategy of the team.
- Deep industry and compliance knowledge and expertise in securities & non-securities regulations, i.e., CIRO, CSA, OSC, OSFI, AMF, etc.
- Strong analytical, critical thinking, and proactive problem management skills.
- Excellent communication skills (oral and written) to communicate clearly at all levels, including ability to prepare executive-level decks, memos, and reports.
- Excellent organization skills and ability to consume large volumes of information and summarize it in a meaningful way for stakeholders.
- Ability to take initiative, work independently, and handle multiple tasks.
- Ability to build strong relationships and influence senior stakeholders.
- Ability to manage work under tight timelines and changing priorities.
- Advanced skills with Microsoft product suite (Excel, PowerPoint, Visio, etc.), in particular PowerPoint is essential.
- Completion of a University degree and/or equivalent work experience.
- Professional designations in law with a focus on securities, accounting, or compliance are an asset.
-
Old Toronto, Ontario, Canada TD Full timeAbout the RoleThe Senior Manager, Regulatory Change will be responsible for leading the Regulatory Change team in providing regulatory advisory support for both securities and non-securities regulatory changes that impact TD Wealth.The successful candidate will focus on Regulatory Change Management and will work closely with partners across the organization,...
-
Old Toronto, Ontario, Canada TD Full timeAbout the RoleThe Senior Manager, Regulatory Change will be responsible for leading the Regulatory Change team in providing regulatory advisory support for both securities and non-securities regulatory changes that impact TD Wealth.The successful candidate will focus on Regulatory Change Management and will work closely with partners across the organization,...
-
Senior Manager, Regulatory Change Management
7 days ago
Toronto, Ontario, Canada TD Full timeAbout the RoleThe Senior Manager, Regulatory Change will be responsible for the management of the Regulatory Change team, providing leadership, guidance, and expertise as it relates to both Securities and Non-Securities Regulations, working closely with line of business owners and control partners across TD Wealth.Key ResponsibilitiesAct as an ongoing...
-
Old Toronto, Ontario, Canada Scotiabank Full timeJob SummaryWe are seeking a highly skilled Director, IT Regulatory Change Management to join our team at Scotiabank. This is a critical role that requires a strong understanding of regulatory frameworks and industry standards.Key ResponsibilitiesRegulatory Compliance ManagementPerform horizon scanning for new or amended regulations (Canada/Global).Engage key...
-
Old Toronto, Ontario, Canada Scotiabank Full timeJob SummaryWe are seeking a highly skilled Director, IT Regulatory Change Management to join our team at Scotiabank. This is a critical role that requires a strong understanding of regulatory frameworks and industry standards.Key ResponsibilitiesRegulatory Compliance ManagementPerform horizon scanning for new or amended regulations (Canada/Global).Engage key...
-
Senior Policy Counsel
6 days ago
Old Toronto, Ontario, Canada Canadian Investment Regulatory Organization Full timeJob DescriptionJob Title: Senior Policy Counsel - Market Integrity SpecialistCompany: Canadian Investment Regulatory OrganizationLocation: Toronto, ONJob Type: Full-timeDepartment: Market Regulation PolicyReports to: Director, Market Regulation PolicyJob SummaryThe Senior Policy Counsel - Market Integrity Specialist will contribute to the development and...
-
Senior Policy Counsel
6 days ago
Old Toronto, Ontario, Canada Canadian Investment Regulatory Organization Full timeJob DescriptionJob Title: Senior Policy Counsel - Market Integrity SpecialistCompany: Canadian Investment Regulatory OrganizationLocation: Toronto, ONJob Type: Full-timeDepartment: Market Regulation PolicyReports to: Director, Market Regulation PolicyJob SummaryThe Senior Policy Counsel - Market Integrity Specialist will contribute to the development and...
-
Regulatory Compliance Specialist
4 weeks ago
Toronto, Ontario, Canada Canadian Investment Regulatory Organization Full timeRegulatory Compliance Specialist Opportunity at Canadian Investment Regulatory OrganizationAre you dedicated to upholding compliance standards within the financial sector? The Canadian Investment Regulatory Organization is seeking a Regulatory Compliance Specialist to enhance their team. In this position, you will play a crucial role in evaluating Member...
-
Toronto, Ontario, Canada Scotiabank Full timeJob SummaryWe are seeking a highly skilled and experienced Director, IT Regulatory Change Management to join our team at Scotiabank. The successful candidate will be responsible for leading the IT Regulatory Change Management function and ensuring that technology activities and recommendations are compliant with relevant regulations, internal policies and...
-
Toronto, Ontario, Canada Scotiabank Full timeJob SummaryWe are seeking a highly skilled and experienced Director, IT Regulatory Change Management to join our team at Scotiabank. The successful candidate will be responsible for leading the IT Regulatory Change Management function and ensuring that technology activities and recommendations are compliant with relevant regulations, internal policies and...
-
Toronto, Ontario, Canada Scotiabank Full timeAbout the RoleWe are seeking a highly skilled and experienced Regulatory Compliance Manager, IT Systems to join our team at Scotiabank. As a key member of our Technology Regulatory Management function, you will play a critical role in ensuring the Bank's technology and security compliance risk management is aligned with regulatory requirements.Key...
-
Toronto, Ontario, Canada Scotiabank Full timeAbout the RoleWe are seeking a highly skilled and experienced Regulatory Compliance Manager, IT Systems to join our team at Scotiabank. As a key member of our Technology Regulatory Management function, you will play a critical role in ensuring the Bank's technology and security compliance risk management is aligned with regulatory requirements.Key...
-
Toronto, Ontario, Canada Scotiabank Full timeJob Summary:The Senior Administrator, Regulatory Initiatives Specialist will provide support to the Senior Manager, Regulatory Initiatives & Reporting and the 1A side of the PIC business. This role is a dedicated administration & support position, designed to create capacity and support the Senior Manager to focus on larger projects and other compliance and...
-
Toronto, Ontario, Canada Scotiabank Full timeJob Summary:The Senior Administrator, Regulatory Initiatives Specialist will provide support to the Senior Manager, Regulatory Initiatives & Reporting and the 1A side of the PIC business. This role is a dedicated administration & support position, designed to create capacity and support the Senior Manager to focus on larger projects and other compliance and...
-
Senior Regulatory Policy Advisor
4 weeks ago
Toronto, Ontario, Canada Financial Services Regulatory Authority of Ontario Full timePosition Overview **NOTE: This is a Fixed-Term (contract) position up to 6 months.** Are you an experienced public policy expert eager to influence the evolution of financial sector oversight in Ontario? The Financial Services Regulatory Authority of Ontario is seeking a Senior Policy and Technical Lead to advance our innovative policy initiatives...
-
Regulatory Change Management Specialist
6 days ago
Toronto, Ontario, Canada TD Bank Full timeJob DescriptionJob Title: Compliance Business Oversight ManagerJob Summary:We are seeking a highly skilled Compliance Business Oversight Manager to join our team at TD Bank. As a key member of our Compliance Department, you will be responsible for ensuring that our business operations are in compliance with regulatory requirements and industry standards.Key...
-
Regulatory Change Management Specialist
7 days ago
Toronto, Ontario, Canada TD Bank Full timeJob DescriptionJob Title: Compliance Business Oversight ManagerJob Summary:We are seeking a highly skilled Compliance Business Oversight Manager to join our team at TD Bank. As a key member of our Compliance Department, you will be responsible for ensuring that our business operations are in compliance with regulatory requirements and industry standards.Key...
-
Regulatory Change Management Specialist
1 week ago
Toronto, Ontario, Canada TD Bank Full timeJob DescriptionJob Title: Compliance Business Oversight ManagerJob Summary:We are seeking a highly skilled Compliance Business Oversight Manager to join our team at TD Bank. As a key member of our Compliance Department, you will be responsible for ensuring that our business operations are in compliance with regulatory requirements and industry standards.Key...
-
Toronto, Ontario, Canada Scotiabank Full timeJob SummaryThe Director, IT Regulatory Change Management plays a critical role in Scotiabank's technology and security compliance risk management by implementing the IT&S Regulatory Compliance Management (RCM) Framework in accordance with regulatory requirements. This position supports the Director, Technology Regulatory Management and provides Regulatory...
-
Toronto, Ontario, Canada Scotiabank Full timeJob SummaryThe Director, IT Regulatory Change Management plays a critical role in Scotiabank's technology and security compliance risk management by implementing the IT&S Regulatory Compliance Management (RCM) Framework in accordance with regulatory requirements. This position supports the Director, Technology Regulatory Management and provides Regulatory...
