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Compliance Business Oversight Manager
2 months ago
About the Role:
The Toronto-Dominion Bank (Canada) is seeking a highly skilled Senior Manager, Regulatory Compliance Oversight to join our team. As a key member of our Compliance Department, you will be responsible for leading the execution of our regulatory change management program, advocating for our interests in regulatory consultations and proposals, and conducting other assigned compliance matters.
Key Responsibilities:
- Lead the execution of our regulatory change management program and advocacy efforts for a portfolio of new and changing laws and regulations applicable to our businesses.
- Act as a Compliance subject matter expert on other projects and initiatives as directed by the AVP, Compliance.
- Lead and support our RCM responsibilities relating to assigned new and changing laws and regulations, including but not limited to identification, assessment and communication of new laws, rules and regulations; conducting detailed reviews relating to our regulatory library; review and challenge of control mapping; issues management.
- Act as a representative on our regulatory change projects, provide appropriate regulatory guidance related to implementation of changes, and ensure regulatory compliance risks are identified and escalated.
- Act as subject matter expert on applicable regulatory change, emerging regulatory risks, trends, best practices, industry or market developments to ensure that anticipated regulatory changes are considered in business activities, strategic plans, policies and processes, and reporting.
- Draft and update our key documents including policies and procedures, compliance manuals and senior management reporting related to assigned regulatory change and ongoing matters.
- Participate or lead as a member of the management team in training or presentations on key initiatives.
- Lead collaborative work to design and implement stakeholder engagement plans, programs and projects to support strategic objectives.
- Collaborate effectively with a broad range of internal stakeholders such as legal, business and control partners on various regulatory compliance reviews, assessments, issues, initiatives.
- Build and maintain strong and effective working relationships outside of TD such as industry associations and working groups on advocacy efforts and assigned matters.
- Work with executive team, business management and partners to develop proactive strategies, tactics, policies, and programs to effectively manage regulatory compliance issues.
Requirements:
- University degree, Law degree (JD or LLB) preferred.
- Minimum 10+ years of relevant business, Compliance, Legal or risk management experience preferred.
- Canadian securities industry courses or training, project management, change management training.
- Experience in regulatory engagement and working with industry association committees.
- Experience in assessing and implementing financial services, banking, securities laws through business or compliance roles.
- Strong influence skills, with the ability to work collaboratively across multiple management teams.
- Excellent verbal and written communication skills, including presentation skills.
- Detail-oriented, highly organized, and able to work in a dynamic environment with changing priorities.
- 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 global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.
