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Compliance Business Oversight Manager
2 months ago
We are seeking a highly skilled Compliance Business Oversight Manager to join our team at The Toronto-Dominion Bank (Canada). As a key member of our Compliance Department, you will be responsible for providing compliance advisory and second-line oversight of our wealth businesses.
Key Responsibilities- Author, analyze and/or review senior and executive management reporting and board reporting.
- Work with executive team, business management/partners to develop proactive strategies, tactics, policies, and programs to effectively manage regulatory/compliance issues.
- Support in the development of Compliance enterprise-wide and Wealth Compliance department frameworks, policies, standards, procedures in coordination with management in line with TD's Compliance Program.
- Support opportunities to enhance innovation, workflow capabilities, and implementation of modernization initiatives to support technology enablement and digitization of Compliance capabilities.
- Work with the Senior manager and other knowledge management professionals in Compliance to adapt Wealth Compliance knowledge management functions to better leverage technology.
- Lead or contribute to cross-functional/enterprise initiatives as an organizational or subject matter expert helping to identify risk and provide guidance.
- Be the Data Steward representative for Wealth Compliance to promote alignment with enterprise and/or regulatory requirements.
- Contribute to the development of Compliance functional strategic priorities within their operational areas or field of specialty.
- Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts, participating in knowledge transfer within the team and Compliance.
- A high degree of professionalism, poise and leadership, and strong communication skills, with the ability to represent TD Wealth Compliance with multiple stakeholders across the enterprise.
- Analytical and problem-solving skills, including the ability to elicit requirements from business perspective, synthesize the information, and articulate those requirements in a manner that can be easily understood.
- Flexibility to adapt to changing priorities combined with an attention to detail and strong organizational skills to thrive in a dynamic environment.
- Ability to articulate critical issues for escalation and decisions while maintaining ownership of deliverables. Understanding of Compliance Program and law and regulation as it applies to the financial services sector.
- Strong people leadership skills, with the ability to define and articulate a compelling vision and engage a team in support of these goals.
- Knowledge of relevant Canadian financial industry legislation.
- Knowledge of information management and project management best practices including agile and waterfall system development methodologies and project management documentation.
- Strong research, investigative, and organizational skills.
- Excellent verbal and written communication skills, including public speaking/presentation skills and well-developed listening and negotiation skills.
- Ability to deal with conflicting points of view and to effect creative and responsive solutions.
- University or College degree and minimum five years of relevant business, Compliance, Legal or risk management experience preferred.
- Law degree (JD or LLB) preferred. Relevant training and industry certifications, e.g. Canadian Securities Course, are desirable.
- Experience in compliance or risk management programs is highly-desirable, with preference for candidates who can demonstrate development of program elements and/or implementation of change management programs.
- Demonstrated excellence in business presentation skills including verbally, in writing, and in management report generation required.
- Experience in retail wealth management or securities compliance is considered an asset.
- Experience in Project Management discipline is considered an asset.
