Compliance Business Oversight Manager

1 month ago

Toronto, Ontario, Canada The Toronto-Dominion Bank (Canada) Full time
Job Summary

We are seeking a highly skilled Compliance Business Oversight Manager to join our team at The Toronto-Dominion Bank (Canada). As a key member of our Compliance Department, you will be responsible for supporting the development, implementation, and maintenance of compliance programs and initiatives across our Wealth businesses.

Key Responsibilities
  • Manage and support the team on Wealth Compliance's development and implementation of assigned Compliance programs or other initiatives, including but not limited to RCM Risk Assessment and Issues Management
  • Lead, manage, remediate and execute the work efforts to keep Wealth Compliance's Merlin Issues Management records up to date
  • Lead, draft and/or review reporting on the state of Wealth issues, regulatory compliance risks, controls and outcomes, identifying trends and analysis
  • Develop and maintain RCM related policies and procedures, including those impacting Issues Management, RCM Assessment
  • Lead the strategy, solution and execution of activities required to address select Wealth Compliance issues
  • Review business owned policies, procedures, controls, other documentation for regulatory compliance risks
  • Engage with stakeholders to develop, implement and/or execute proactive strategies, tactics, policies, procedures, processes and programs to drive efficiencies while effectively managing regulatory compliance risks and requirements
  • Collaborate with stakeholders to gather and assess requirements; consider alignment cross platform or functions; identify, assess and address risks, issues and escalations; and provide advice that aligns with Compliance strategy and objectives and regulatory requirements
  • Assess, recommend, develop, draft and/or implement policies, procedures, processes, controls and/or actions to address regulatory requirements, initiatives, issues
  • Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite
  • Participate in committees or working groups to represent Wealth Compliance, as assigned
  • Provide compliance guidance, challenge and oversight for business projects and initiatives
  • Support the Road to Strong (RTS) initiative for Wealth
  • Design and execute select Wealth Compliance monitoring activities of RCM controls
  • Keep abreast of emerging issues, trends, best practices and evolving regulatory requirements and assess potential impacts
Requirements
  • Undergraduate degree
  • Canadian securities industry courses or training, project management training
  • 5+ years relevant experience. Regulatory, compliance or risk management experience is highly desirable
  • Expertise in securities and/or banking regulations
  • Strong influence skills, with the ability to work collaboratively across multiple management teams
  • Ability to work independently and proactively, with support of the Senior Manager on key issues
  • Demonstrated excellence in business presentation skills including verbally, in writing and in management reporting
  • Detail-oriented, highly organized, and able to work in a dynamic environment
  • Ability to make sound business decisions
  • Proven ability to develop collaborative business relationships
About Us

The Toronto-Dominion Bank (Canada) 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.

We are 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.

We offer a Total Rewards package that 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.

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