Compliance Risk Management Leader

2 weeks ago


Old Toronto, Canada TD Full time

TD Securities Corporate and Investment Banking is a leading provider of financial advisory and capital-raising services to corporate and institutional clients globally.

Position Overview:

The Investment Banking group is a demanding environment that requires a highly skilled and efficient individual who works well in a team, can manage multiple priorities at the same time, and thrives in a fast-paced and intense environment.

In this first line of defense (1A) role, the Compliance VP will work as a key member of the Business Management Team to establish a strong risk and control environment, supported by an effective supervisory program for the Corporate and Investment Banking business.

  • Collaborate with Corporate and Investment Banking front-line professionals to ensure the business has adequately considered, managed, and mitigated risks.
  • Develop effective partnerships with groups that support Corporate and Investment Banking.
  • Perform delegated business supervision and risk management activities as part of the Center of Excellence.
  • Implement preventive controls strategically.
  • Participate in the design and implementation of control testing.
  • Present and deliver training with confidence.
  • Prepare dashboard reporting and business analysis.
  • Serve as a leader and role model for junior supervision resources on the team.
  • Promote a culture of compliance and respect for the bank's risk appetite.

Required Skills and Qualifications:

  • Experience in capital markets, compliance, audit, risk, control, and governance.
  • Familiarity with the Canadian and US capital markets regulatory landscape.
  • Undergraduate Degree, CPA, MBA, or other post-undergraduate education is preferred.


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