Manager, Compliance Business Oversight (3113)

Work Location:
Toronto, Ontario, Canada

Hours:
37.5

Line of Business:
Compliance

Pay Details:
$91,200 - $136,800 CAD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

Job Description:

Department Overview

TD Wealth Compliance has an immediate need for a Manager, Business Compliance Oversight to provide compliance advisory and second line oversight of The Canada Trust Company and TD Wealth trust related activities as well as to support the Wealth Compliance Reg Change Team with a focus on non-securities laws.

Job Details

Reporting to Senior Manager, Wealth Compliance, the Manager, Business Compliance Oversight will provide compliance advisory and second line oversight of The Canada Trust Company (TCTC) and TD Wealth trust related activities as well as support the Wealth Compliance Reg Change Team with a focus on non-securities laws.

Responsibilities:

• Support Senior Managers on compliance programs for TCTC, PT and trust related activities and oversight to address applicable regulatory requirements and Regulatory Compliance Management (RCM) program
• Provide compliance advisory to stakeholders on various matters related to TCTC and TD Wealth trust related activities, including RCM, business initiatives, compliance or regulatory matters, regulatory change, regulatory and other audits, issues resolution and/or other assigned projects
• Execute 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
• 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 RCM and conduct risk programs
• 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; 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 and/or actions to address regulatory requirements, initiatives, issues
• Review business owned policies, procedures, controls, and other documentation for regulatory compliance risks
• 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
• Provide compliance guidance, challenge and oversight for business projects and initiatives
• Perform periodic or targeted monitoring activities
• 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
• 7+ years relevant experience. Regulatory, compliance or risk management experience is highly desirable
• Significant expertise in trust and banking regulations
• Strong influence skills, with the ability to work collaboratively across multiple management teams
• Proven ability to develop collaborative business relationships
• Ability to work independently and proactively, with support of the Senior Manager and 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

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.

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!