Manager, Business Compliance Oversight

19 hours ago

Toronto, Ontario, Canada TD Full time
Job Title: Manager, Business Compliance Oversight

At TD, we're committed to enriching the lives of our clients, communities, and colleagues. We're seeking a highly skilled Manager, Business Compliance Oversight to join our team and help us achieve our vision of being a better bank.

About the Role:

The Manager, Business Compliance Oversight will be responsible for supporting the development, implementation, and maintenance of compliance programs and initiatives across TD Wealth. This includes providing guidance and oversight to ensure that our business practices align with regulatory requirements and expectations.

Key Responsibilities:
  • Manage and support the team on Wealth Compliance's development and implementation of assigned Compliance programs or other initiatives.
  • 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.
  • 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.
  • 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.
  • 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.
  • Regulatory, compliance, or risk management experience is highly desirable.
  • 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.
What We Offer:

We offer a competitive compensation package, including a base salary, variable compensation, and other key benefits, such as health and wellness benefits, retirement savings plans, paid time off, banking benefits, and discounts, career development opportunities, and recognition and rewards programs.

We also offer a variety of mentorship programs and an online learning platform to help you grow and develop your skills.

At TD, we're committed to creating a workplace that's inclusive, diverse, and respectful. We believe that our differences are what make us stronger, and we're dedicated to creating a workplace where everyone feels valued, respected, and empowered to succeed.

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