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Senior Manager, Regulatory Compliance and Reporting
2 months ago
About TD Wealth
TD Wealth is a leading provider of wealth and asset management solutions to retail and institutional clients. We help individual and institutional clients protect, grow, and successfully transition their wealth.
Overview of the Role & the Wealth Regulatory Affairs Team
The Senior Manager, Regulatory Compliance and Reporting will be responsible for the management of the Regulatory Compliance team, providing leadership, guidance, and expertise as it relates to regulatory examinations, working closely with line of business owners and control partners across TD Wealth.
Key Responsibilities
Stakeholder Engagement
- Act as an ongoing resource and central reference for internal business partners regarding regulatory examinations 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 examinations in terms of operational implications.
- Work 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 expertise as a business advisor on regulatory examinations, compliance matters, and internal controls to help the business understand and comply with providing regulatory responses.
- Participate and represent TD Wealth in regulatory/compliance-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.
- Conduct industry research and stay current on best practices, securities products, and emerging risks and technologies.
- Consolidate regulatory information, summarize issues, analyze trends, and provide 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 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 ongoing 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.
Requirements
Qualifications/Skills/Experience
- 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.
Technical Knowledge/Skills
- Advanced skills with Microsoft product suite (Excel, PowerPoint, Visio, etc.), in particular PowerPoint is essential.
Education
- Completion of a University degree, postgraduate degree (e.g., MBA), and/or equivalent work experience.
- Professional designations in law with a focus on securities, accounting, or compliance are an asset.
