Senior Manager, Compliance Business Oversight

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, 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 Senior Manager, Business Compliance Oversight with a focus on Regulatory Change Management, advocacy efforts related to regulatory proposals and consultations, and other assigned compliance assessments.

Job Details

Reporting to the AVP Wealth Compliance, the Senior Manager will lead the execution of TD Wealth Compliance regulatory change management program for assigned portfolio of laws and regulations that impacts TD Wealth, Wealth Compliance's advocacy efforts on assigned regulatory consultations and proposals, as well as conduct other assigned compliance matters.

This role will engage with various stakeholders and advise on delivering effective compliance with changing laws and regulations to help ensure strong compliance controls and processes to mitigate regulatory compliance risks.

The Senior Manager accountabilities will include, but not be limited to :

• In accordance with TD Enterprise Regulatory Compliance Management (RCM) Framework, lead the execution of Wealth Compliance regulatory change management program and advocacy efforts for a portfolio of new and changing laws and regulations applicable to the TD Wealth businesses
• Act as a Compliance subject matter expertise on other projects and initiatives as directed by the AVP, Compliance
• Lead and support Wealth Compliance 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 Wealth regulatory library; review and challenge of control mapping; issues management

• Act as a Wealth Compliance representative on TD Wealth 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 expertise 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 TD Wealth Compliance 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

EXPERIENCE & EDUCATION

• 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

OTHER 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 and outside the organization
• 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.
• Ability to articulate critical issues for escalation and decisions while maintaining ownership of deliverables.
• Ability to deal with conflicting points of view and to effect creative and responsive solutions.
• Strong research, investigative and organizational skills.
• Ability to work independently and proactively, with support of the AVP on key issues

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.

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.