Senior Manager, Regulatory Compliance

2 months ago

Old Toronto, Ontario, Canada TD Full time
Job Summary

We are seeking a highly skilled and experienced Senior Manager to join our Global Compliance Department. As a key member of our team, you will be responsible for overseeing Regulatory Compliance across TD in accordance with our Global Compliance Department Mandate, Framework and Standards.

Key Responsibilities
  • Lead and develop a team responsible for Second Line oversight of the RCM Framework and Standards.
  • Develop RCM and COC program subject matter expertise and strong understanding of Corporate Functions program to effectively oversee regulatory compliance risk.
  • Contribute to the development and implementation of Compliance programs.
  • Provide trusted advice, guidance and review and challenge to Oversight Functions and Risk Owners in alignment to the RCM Framework and Standards.
  • Lead complex discussions with Executive stakeholder group, gain consensus and drive appropriate outcomes.
  • Articulate regulatory compliance risk issues in a simplified, easy to understand manner in communication and reporting to Executive Committees and the Board.
  • Develop a strong understanding of the federated model and lines of defense to effectively navigate to deliver on mandate.
  • Prepare Executive communication, briefing materials, policies and standards, departmental procedures.
  • Develop strong working relationship and partner with other Compliance Units, including US Compliance, on RCM Program requirements.
  • Champion the Compliance Programs by leading initiatives, forums, discussions and representing COC at Corporate Functions meetings, committees and working groups.
  • Keep abreast of emerging issues, trends and evolving regulatory requirements and assess potential impacts.
  • Provide thought leadership and/or industry knowledge for own area of expertise and participate in knowledge transfer within the team and business.
Requirements
  • Undergraduate degree.
  • Relevant professional designation and/or certifications, as required.
  • 10+ years relevant experience.
About TD

TD is a global leader in the financial services industry. We represent the fifth bank in North America by the number of branches. Every day, we deliver a legendary customer experience to over 27 million households and businesses in Canada, the United States, and around the world. Our colleagues at TD bring their skills, talent, and creativity to serve our customers and support the economies we serve. We are guided by our vision of being a better bank and our goal of enriching the lives of our customers, communities, and colleagues.

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