Work Location:

Canada

Hours:

37.5

Line of Business:

Compliance

Pay Details:

We’re committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.

Job Description:

Department Overview

The TD Wealth Compliance Department provides compliance advisory and second line oversight of TD Wealth businesses, including: TD Waterhouse Canada Inc. (an CIRO registrant that includes Private Investment Advice, Financial Planning, and Direct Investing), Private Investment Counsel (an OSC registrant), TD Asset Management (an OSC registrant), TD Wealth Insurance Services, Private Trust, and Private Banking.

The Associate Vice President, Wealth Compliance and their team collaborate and support TD Wealth Chief Compliance Officers and Wealth businesses in certain Compliance areas, including Regulatory Compliance Management (RCM) Program Management, Regulatory Change Management, Reporting, Innovation, Training and other projects. A multi-disciplinary team of compliance professionals supports these activities. Given the range of businesses supported, and the breadth of applicable regulations, the day-to-day work of the group is both interesting and complex, requiring compliance and wealth management subject matter expertise.

The team has an immediate need for a Senior Manager, Business Compliance Oversight.

Job Details

Reporting to AVP, Wealth Compliance, the Senior Manager will be leading Wealth Compliance's strategy, development, implementation and/or support for assigned initiatives such as Regulatory Compliance Management (RCM) program elements, with a focus on Global Regulatory Inventory and Control (GRIC) Standard; compliance or regulatory matters; issues resolution and/or other Wealth Compliance initiatives. You will be providing compliance advice, guidance, support and effective challenge of the Wealth Canada businesses in meeting regulatory requirements and expectations.

The Senior Manager, Business Compliance Oversight accountabilities will include, but not limited to: 

• Lead, design, oversee and execute Wealth Compliance Regulatory Compliance Management (RCM) Global Regulatory Inventory and Control (GRIC) Program

• Lead and execute select Road to Strong and/or RCM Program components, which may include: Governance, Regulatory Change Management, Monitoring and Testing

• Lead the efforts to maintain and manage Merlin LRR and control records from Compliance perspective

• Lead and execute the efforts required to ensure related Wealth Compliance policies and procedures are in place

• Lead and manage Wealth Compliance's development and implementation of assigned Compliance program or other initiatives

• Independently monitor and assess the adequacy of, adherence to and effectiveness of regulatory compliance management and conduct risk programs and controls for Wealth Canada business lines as appropriate

• Engage with senior management and stakeholders to develop, implement and/or execute proactive strategies, tactics, policies, procedures, processes and programs to drive efficiencies while effectively managing regulatory compliance risks and requirements

• Collaborate with stakeholders to gather and assess requirements; consider alignment cross platform or functions; identify, assess and address risks, issues and escalations; and provide compliance advice that aligns with Compliance strategy and objectives and regulatory requirements

• Lead, draft and/or review reporting on the state of regulatory compliance risks, controls and outcomes

• Assess, recommend, develop, draft and/or implement policies, procedures, processes, controls, monitoring activities and/or actions to address RCM and/or RTS program requirements, regulatory requirements, initiatives, issues

• Review business owned policies, procedures, controls, other documentation for regulatory compliance risks

• Lead the management of Wealth Compliance specific training program including content creation and maintenance, liaising with learning stakeholders as required

• Lead the coordination of internal audits impacting Wealth Compliance

• Lead the strategy, solution and execution of activities required to address select Wealth Compliance issues

• Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite

• Lead or participate in committees or working groups to represent Wealth Compliance, as assigned

• Keep abreast of emerging issues, trends, best practices and evolving regulatory requirements and assess potential impacts

• May lead, coach and/or manage a high performing team on delivery of Compliance programs or assigned matters

EXPERIENCE & EDUCATION

• Undergraduate degree

• Canadian securities industry courses or training, project management training

• 10+ years relevant experience. Regulatory, compliance or risk management experience is highly desirable

• Significant expertise in securities and/or banking regulations

• Strong influence skills, with the ability to work collaboratively across multiple management teams

• Ability to work independently and proactively, with support of the AVP on key issues

• Demonstrated excellence in business presentation skills including verbally, in writing and in management reporting

• Detail-oriented, highly organized, and able to work in a dynamic environment

• Ability to make sound business decisions

• Proven ability to develop collaborative business relationships

Who We Are:

TD 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.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals. As an organization, we keep growing – and so will you.

Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical, and mental well-being goals. Total Rewards at TD includes a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs. Learn more

Additional Information:
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development
If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.
 

Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process 
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation
Your accessibility is important to us. Please let us know if you’d like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you!

Language Requirement (Quebec only):

Sans Objet