Manager, Business Compliance Oversight

20 hours ago

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

TD is seeking a highly skilled and experienced Manager, Business Compliance Oversight to join our team. As a key member of our Compliance team, you will be responsible for ensuring that our Wealth Canada businesses are in compliance 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.
About TD:

TD is one of the largest banks in North America, with a presence in Canada, the United States and around the world. We are guided by our vision of being a better bank and our goal of enriching the lives of our customers, communities and colleagues. We offer a range of benefits, including competitive salaries, bonuses, stock options, health and wellness programs, retirement plans, paid time off, and opportunities for career growth and development.

  • Compliance Business Oversight Manager

    1 week ago

    Toronto, Ontario, Canada TD Bank Full time

    Job 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 Oversight of Models Office, you will play a critical role in ensuring the appropriate application of models and ensuring regulatory compliance.Key...

  • Compliance Business Oversight Manager

    1 week ago

    Toronto, Ontario, Canada TD Bank Full time

    Job 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 Oversight of Models Office, you will play a critical role in ensuring the appropriate application of models and ensuring regulatory compliance.Key...

  • Compliance Business Oversight Manager

    1 week ago

    Toronto, Ontario, Canada TD Bank Full time

    Job 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 Oversight of Models Office, you will play a critical role in ensuring the appropriate application of models and ensuring regulatory compliance.Key...

  • Compliance Business Oversight Manager

    2 weeks ago

    Toronto, Ontario, Canada TD Bank Full time

    Job DescriptionOverviewTD Bank is seeking a highly skilled Compliance Business Oversight Manager to join our team. As a key member of our Compliance Oversight of Models Office (COMO), you will play a critical role in ensuring the appropriate application of models and ensuring regulatory compliance.Key ResponsibilitiesIdentify, analyze, and report on...

  • Manager, Business Compliance Oversight

    15 hours ago

    Toronto, Ontario, Canada TD Full time

    Job Title: Manager, Business Compliance OversightAt 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...

  • Manager, Business Compliance Oversight

    19 hours ago

    Toronto, Ontario, Canada TD Full time

    Job Title: Manager, Business Compliance OversightAt 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...

  • Compliance Business Oversight Manager

    3 weeks ago

    Toronto, Ontario, Canada TD Bank Full time

    Job Title: Compliance Oversight of Models Specialist Company: TD Bank Location: Canada Job Type: Full-time Hours: 37.5 Line of Business: Compliance Job Description: We are seeking a highly skilled Compliance Oversight of Models Specialist to join our team at TD Bank. As a key member of our Compliance Oversight of Models Office (COMO), you will play a...

  • Compliance Business Oversight Manager

    2 weeks ago

    Toronto, Ontario, Canada TD Bank Full time

    **Job Summary:** The Compliance Oversight of Models Office (COMO) is seeking a professional to ensure the appropriate application of models, leveraging explainability approaches to understand models and tackle fairness and AI challenges. We're looking for a skilled professional to join our team in the Compliance Oversight of Models Office (COMO). As a...

  • Manager, Business Compliance Oversight

    18 hours ago

    Toronto, Ontario, Canada TD Full time

    Job Title: Manager, Business Compliance OversightTD is seeking a highly skilled and experienced Manager, Business Compliance Oversight to join our team. As a key member of our Compliance team, you will be responsible for ensuring that our business operations are in compliance with regulatory requirements and industry standards.Key Responsibilities:Manage and...

  • Manager, Business Compliance Oversight

    14 hours ago

    Toronto, Ontario, Canada TD Full time

    Job Title: Manager, Business Compliance OversightTD is seeking a highly skilled and experienced Manager, Business Compliance Oversight to join our team. As a key member of our Compliance team, you will be responsible for ensuring that our business operations are in compliance with regulatory requirements and industry standards.Key Responsibilities:Manage and...

  • Compliance Business Oversight Manager

    7 days ago

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

    Job SummaryWe are seeking a highly skilled Compliance Business Oversight Manager to join our team. As a key member of our Global Compliance Department, you will play a critical role in overseeing our Regulatory Compliance Program, ensuring that all Laws, Rules, and Regulations (LRRs) are reasonably accurate and complete.Key ResponsibilitiesProvide oversight...

  • Compliance Business Oversight Manager

    7 days ago

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

    Job SummaryWe are seeking a highly skilled Compliance Business Oversight Manager to join our team. As a key member of our Global Compliance Department, you will play a critical role in overseeing our Regulatory Compliance Program, ensuring that all Laws, Rules, and Regulations (LRRs) are reasonably accurate and complete.Key ResponsibilitiesProvide oversight...

  • Compliance Business Oversight Manager

    1 week ago

    Toronto, Ontario, Canada TD Bank Full time

    Job Summary: We're seeking a Compliance Specialist to join our team, responsible for ensuring the appropriate application of models and regulatory compliance in the financial industry. The successful candidate will play a key role in identifying, analyzing, and summarizing AI-related laws, rules, and regulatory developments, as well as leading regulatory...

  • Compliance Business Oversight Manager

    3 weeks ago

    Toronto, Ontario, Canada TD Bank Full time

    Job 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...

  • Compliance Business Oversight Manager

    3 weeks ago

    Toronto, Ontario, Canada TD Bank Full time

    Job 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...

  • Compliance Business Oversight Manager

    3 weeks ago

    Toronto, Ontario, Canada TD Bank Full time

    Job 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...

  • Compliance Business Oversight Manager

    2 weeks ago

    Old Toronto, Ontario, Canada TD Full time

    {"h1": "Compliance Business Oversight Manager", "h2": "Job Summary", "p": "We are seeking a highly skilled Compliance Business Oversight Manager to join our team at TD. As a key member of our Compliance Department, you will be responsible for leading the preparation and maintenance of senior and executive management reports, as well as researching and...

  • Compliance Business Oversight Manager

    2 weeks ago

    Old Toronto, Ontario, Canada TD Full time

    {"h1": "Compliance Business Oversight Manager", "h2": "Job Summary", "p": "We are seeking a highly skilled Compliance Business Oversight Manager to join our team at TD. As a key member of our Compliance Department, you will be responsible for leading the preparation and maintenance of senior and executive management reports, as well as researching and...

  • Compliance Business Oversight Manager

    4 days ago

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

    Job Title: Manager, Compliance Business OversightJob Summary:The Toronto-Dominion Bank (Canada) is seeking a highly skilled Manager, Compliance Business Oversight to join our team. 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...

  • Compliance Business Oversight Manager

    4 days ago

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

    Job Title: Manager, Compliance Business OversightJob Summary:The Toronto-Dominion Bank (Canada) is seeking a highly skilled Manager, Compliance Business Oversight to join our team. 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...