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Senior Manager, Compliance Business Oversight

2 months ago

Golden Horseshoe, Canada The Toronto-Dominion Bank (Canada) Full time
Job Title: Senior Manager, Compliance Business Oversight

Job Summary:

We are seeking a highly skilled Senior Manager, Compliance Business Oversight to join our team at The Toronto-Dominion Bank (Canada). As a key member of our Compliance Department, you will be responsible for leading our Compliance Business Oversight initiatives, ensuring that our Wealth businesses meet regulatory requirements and expectations.

Key Responsibilities:

  • Lead and execute Wealth Compliance's Regulatory Compliance Management (RCM) and Road to Strong (RTS) Program Governance efforts.
  • Develop and implement Compliance programs and initiatives to address regulatory compliance risks.
  • Monitor and assess the adequacy of regulatory compliance management and conduct risk programs for our Wealth Canada business lines.
  • Engage with senior management and stakeholders to develop and execute proactive strategies to manage regulatory compliance risks.
  • Collaborate with stakeholders to gather and assess requirements and provide compliance advice.
  • Lead, draft, and/or review reporting on the state of regulatory compliance risks.
  • Develop and implement policies, procedures, and controls to address RCM and/or RTS program requirements.
  • Review business-owned policies and documentation for regulatory compliance risks.
  • Manage our Compliance-specific training program.
  • Coordinate internal audits impacting Compliance.
  • Lead activities required to address select Compliance issues.
  • Maintain a culture of risk management and control.
  • Represent Compliance in committees or working groups.
  • Stay up-to-date with emerging issues, trends, and regulatory requirements.
  • May lead, coach, and/or manage a high-performing team.

Requirements:

  • Undergraduate degree.
  • Canadian securities industry courses or training, project management training.
  • 10+ years of relevant experience in regulatory, compliance, or risk management.
  • Significant expertise in securities and/or banking regulations.
  • Strong influence skills and ability to work collaboratively.
  • Ability to work independently and proactively.
  • Demonstrated excellence in business presentation skills.
  • Detail-oriented and highly organized.
  • Ability to make sound business decisions.
  • Proven ability to develop collaborative business relationships.

About Us:

The Toronto-Dominion Bank (Canada) is one of the world's leading financial institutions, serving over 27 million households and businesses in Canada, the United States, and globally. We are committed to enhancing customer experiences and supporting our colleagues' growth.

Total Rewards Package:

Our Total Rewards package reflects our investments in our colleagues' financial, physical, and mental well-being. It includes base salary, variable compensation, health benefits, savings programs, and career development opportunities.

Additional Information:

We provide regular development conversations, training programs, and support to help our colleagues thrive. We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.

Accommodation:

Your accessibility is important to us. Please let us know if you'd like accommodations to help us remove barriers during the interview process.

Language Requirement: N/A.

Our Values:

We are guided by our purpose to enrich the lives of our customers and communities, and we are committed to fostering an inclusive workforce.

Helping to Make an Impact in Communities – TD Ready Commitment:

We are dedicated to driving progress towards a more inclusive and sustainable future through community giving initiatives.