Manager, Compliance Monitoring & Testing (5672)
The Toronto-Dominion Bank (Canada)
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Job summary
TD Bank Group in Toronto is seeking a Manager, Compliance Monitoring & Testing to join the Core Compliance team and lead the implementation of Monitoring and Testing programs within the Regulatory Compliance Management framework.
The role requires a university degree and 5+ years of securities compliance experience, with strong knowledge of CIRO, MX, and OSC rules. You will partner with senior management and regulators to uphold TD's compliance standards.
Qualifications
- University degree required.
- 5+ years securities compliance or related securities experience required.
- Strong knowledge of CIRO, MX, OSC and other related laws, rules and regulations.
- Ability to learn new areas while supporting them.
- Excellent interpersonal, organizational, leadership and communication (oral and written) skills.
- Client service skills – advise senior and line managers on regulatory interactions.
- Strong analytical skills, attention to detail, solid judgment.
- Project management skills and ability to manage multiple work streams.
- Thrive in a fast-paced, deadline-driven environment with strong time management.
- Ability to interact with all levels and work collaboratively with regulators and partners.
- Relationship builder with regulators and business partners.
- Proficient in MS Office.
- Ability to understand, analyze, interpret and apply regulation in operational context.
- Ability to manage and prioritize multiple projects.
- Ability to work independently and as part of a team.
- Ability to deal with staff and management at all TD Securities and TDBG levels.
- Think critically and make decisions.
Responsibilities
- Manage the implementation of Monitoring and Testing program within the Regulatory Compliance Management framework.
- Support TD's Regulatory Compliance Management framework through stakeholder collaboration.
- Partner with regulators and internal teams to ensure ongoing compliance.
- Coordinate multiple work streams and deliver results under tight deadlines.
Skills
Education
Tools
Job description
Work Location: Toronto, Ontario, Canada Hours: 37.5 Line of Business: Compliance Pay Details: $96,900 - $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. As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.
The TD Securities Inc. (TDSI) Compliance Department is responsible for the compliance strategy and oversight programs, including designing and implementing monitoring and supervisory programs for the firm. This is accomplished by:
- Conducting monitoring and surveillance
- Providing training and education
- Liaising with regulators
- Promoting a compliance culture within the firm
- Taking preventative measures to ensure compliance with the rules and regulations
- Implementing Policies and Procedures designed to achieve compliance with applicable laws and regulations
- Licensing and registration requirements
- Reviewing new business opportunities, such as new products or markets from a compliance perspective
Manager, Compliance Monitoring & Testing is a newly created role on the Core Compliance team to manage the implementation of Monitoring and Testing program, a key program supporting TD's Regulatory Compliance Management (RCM) Framework.
University degree required. 5+ or more years securities compliance or related securities experience required.
Strong knowledge of CIRO, MX, OSC and other related Laws, Rules and Regulations applicable to the Canadian securities marketplace.
Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations, and the ability to learn new areas while supporting them.
Excellent interpersonal, organizational, leadership and communication (oral and written) skills.
Client service skills – the candidate must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory interactions.
Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issues.
Project management skills and ability to manage multiple work streams involving different partners and groups.
Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills, along with the ability to handle multiple assignments at the same time.
Ability to interact effectively with all levels of the organization and to work collaboratively on teams of varying size.
A relationship builder with the ability to establish, develop and maintain effective working relationships with regulators and with business and functional partners at the firm.
Proficient in MS Office.
Ability to understand, analyze, interpret and apply such regulation in an operational context in an environment that is ever changing and has competing priorities.
Ability to manage and prioritize multiple projects, many with tight deadlines.
Ability to work independently and as part of a team yet understand when matters need to be escalated to senior management.
Ability to deal with staff and management at all levels in TD Securities and TDBG.
Ability to think critically and make decisions.
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 strive to make every interaction, product, and experience remarkably human and refreshingly simple for 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 foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities.
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.
- a base salary
- variable compensation
- health and well-being benefits
- savings and retirement programs
- paid time off
- banking benefits and discounts
- career development
- reward and recognition programs
Learn more
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.
Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.
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.
If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.
We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.
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.
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!
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At TD we’re guided by our purpose to enrich the lives of our customers, communities and colleagues, and share a set of values that shape our culture and guide our behavior. In exchange for how our colleagues show up to help TD succeed, we are committed to delivering a colleague experience grounded in Impact, Growth and a Culture of Care.
No matter where you work across TD, we empower you to make an impact at work and in your community, explore and grow your career and be part of our caring and inclusive culture.
At TD, we’re committed to fostering an environment where all colleagues are encouraged to bring their authentic selves to work, experience equitable opportunities, and feel respected and supported. We’re dedicated to building an inclusive workforce that reflects the diversity of the customers and the communities in which we live and serve.
TD has a long-standing commitment to help drive progress towards a more inclusive and sustainable future. That’s why we launched the TD Ready Commitment in 2018, now a multi-year North American initiative. Under the TD Ready Commitment, we are targeting a total of C$1 billion by 2030 in community giving across four key, interconnected drivers of change: Financial Security, Vibrant Planet, Connected Communities, and Better Health. It’s our goal to help support change, nurture progress, and contribute to making the world a better, more inclusive place for our customers, colleagues, and communities.
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