Compliance Oversight Officer
6 days ago
Job Summary:
We are seeking a highly skilled Compliance Oversight Officer to join our team at TD Bank. As a key member of our Compliance department, you will be responsible for ensuring the global compliance program aligns with regulatory requirements and supports the asset management business.
Key Responsibilities:
- Provide leadership and oversight to ensure compliance with applicable laws, regulations, and guidelines.
- Assess the adequacy and effectiveness of Regulatory Compliance Management controls.
- Implement and maintain independent monitoring and testing.
- Proactively manage regulatory change and communicate compliance requirements to manage regulatory risks.
- Develop and maintain relationships with Senior Business Management and Compliance Leaders.
- Provide routine and regular reporting of actual or potential non-compliance.
- Act as key regulatory contact for local securities regulators.
Requirements:
- Deep regulatory, industry, and operational knowledge.
- Experience in compliance or risk management programs.
- Deep experience and understanding of investment management products and strategies.
- Ability to assess compliance and other risks.
- Registration as Compliance Oversight Officer with local UK securities regulator.
- Ability to manage complex issues and priorities effectively.
- Demonstrated ability to provide actionable advice to assist the business in achieving business goals in a compliant manner.
- Ability to work collaboratively across multiple management teams.
Education and Experience:
- University or College degree and minimum of 7+ years relevant business, Compliance, Legal or risk management experience.
- Law degree (JD or LLB) preferred. Relevant training and industry certifications are desirable.
About TD Bank:
TD Bank is one of the world's leading global financial institutions, delivering legendary customer experiences to over 27 million households and businesses in Canada, the United States, and around the world.
Total Rewards Package:
Our Total Rewards package reflects the investment we make in our colleagues to help them, and their families achieve their well-being goals.
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