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Senior Manager, Regulatory Change and Compliance

2 months ago

Old Toronto, Ontario, Canada TD Full time
About the Role

The 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, including senior executives in the various Wealth lines of business, Compliance, Legal, Risk Management, AML, Products, Credit, Tax, Operations, and Technology/Delivery.

Key Responsibilities
  • Stakeholder Engagement:
    • Act as an ongoing resource and central reference 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.
Requirements
  • 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 and/or equivalent work experience.
  • Professional designations in law with a focus on securities, accounting, or compliance are an asset.