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 (a 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 Investment Services (an MFDA registrant), Private Trust, and Private Banking. 

Key functions within the unit include the Chief Compliance Officers and their teams for each business line including Regulatory Compliance Management (RCM) Program Management, Reporting, Innovation, Registrations, 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 Manager, Compliance Business Oversight, with a focus on internal compliance reporting, innovation and Wealth Compliance initiatives

Job Description

Reporting to the Senior Compliance Business Oversight Manager, Reporting, Data and Technology Enablement, the Manager will lead in preparing and maintaining various senior and executive management and board reports, research and maintenance of knowledge management systems and data strategy including but not limited by OCDO tasks and innovation projects. They will further support in areas of technology enablement, program effectiveness and efficiency, and compliance training development. Finally, they may at times provide support on broader Compliance initiatives including regulatory change management, audits or other program reviews.

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

• 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 Stewart 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

Job Requirements

• 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 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.  The ability to work collaboratively across multiple management teams.
• 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.

Additional Information

• 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.

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:

N/A.