Senior Compliance Business Oversight Manager (3239)

White Spot; Canada; On-site; CAD 108,000 - 164,000; Full time

Job summary

A leading company in finance seeks a Compliance expert to oversee and advise on regulatory requirements and Compliance programs in Toronto. This senior role requires 10+ years of experience, significant analytical skills, and the ability to foster effective partnerships across the business.

Benefits

Competitive benefits plan

Career development opportunities

Qualifications

• 10+ years of relevant experience in Compliance or related field.

Responsibilities

• Advise on Compliance regulatory changes and data analysis.
• Develop and oversee Compliance programs and policies.
• Engage with stakeholders and manage high-risk initiatives.

Skills

Compliance advisory

Data analysis

Risk management

Stakeholder engagement

Education

Undergraduate degree

Relevant professional designations

Job description

Work Location:
Toronto, Ontario, Canada

Hours:
37.5

Line of Business:
Compliance

Pay Details:
$108,800 - $163,200 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.

Job Description:

Key Accountabilities

Customer

• Proactively advise the business of new and changed Compliance regulatory and/or policy changes
• Formulate relevant and meaningful data analysis, leveraging advanced modeling and analytics, and lead on the interpretation of complex business issues, generate multifaceted insights and identify opportunities to address business regulatory requirements and issues
• Contribute to the development and implementation of Compliance programs
• Guide partner through the development, implementation, oversight and management of effective Compliance Programs
• Prepare summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of Compliance
• Represent Compliance on internal or external committees relating to designated business activities as required
• Deliver relevant subject matter expertise and Compliance advice to business management
• Conduct meaningful analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess the effectiveness of programs/ policies/ practices
• Maintain oversight (via review and approval) of all functions and accountabilities related to management reporting and analysis
• Manage high risk initiatives and escalations; lead initiatives/guidance as appropriate

Shareholder

• Actively assist in developing and overseeing implementation of business line policies and Compliance Team procedures
• Oversee respective programs/policies/practices are well managed, meets business needs, complies with internal and external requirements, and aligns with business priorities
• Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; escalate issues where appropriate
• Partner with the governance & assurance function to develop annual awareness training
• Conduct enterprise wide annual risk assessment for all TD businesses
• Protect the interests of the organization - identify and manage risks, and promote the prompt and thorough resolution of escalated non-standard, high risk issues
• Conduct internal and external research projects; support the development/ delivery of presentations / communications to management or broader audience
• Actively manage relationships within and across various business lines, corporate and/or control functions and promote alignment with enterprise and/or regulatory requirements
• Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts
• Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite

Employee/Team

• Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and promote timely communication of issues/ points of interest
• Provide thought leadership and/ or industry knowledge for own area of expertise and participate in knowledge transfer within the team and business
• Keep current on emerging trends/ developments and grow knowledge of the business, related tools and techniques
• Participate in personal performance management and development activities, including cross training within own team
• Keep others informed and up-to-date about the status / progress of projects and / or all relevant or useful information related to day-to-day activities
• Contribute to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices.
• Lead, motivate and develop relationships with internal and external business partners / stakeholders to develop productive working relationships.
• Contribute to a fair, positive and equitable environment that supports a diverse workforce
• Act as a brand ambassador for your business area/function and the bank, both internally and/or externally

Breadth & Depth

• Recognized as top level expert within the company and requires significant in-depth and/or breadth of expertise in a complex field and knowledge of broader related areas
• Senior specialist providing advisory services to executives, business segment leaders and governs the requirements for own work
• Integrates knowledge of the enterprise function's or business segment's overarching strategy in leading program design, policy formulation or operating standards within one or more areas of expertise
• Anticipates emerging business trends and regulatory/risk issues as a basis for recommending large-scale product, technical, functional or operations improvements
• Serves as a source of expert advice to senior management in field of specialty
• Advises on execution strategy and leads the development and deployment of functional programs or initiatives within their own field or across multiple specialties
• Solves unique and ambiguous problems with broad impact; typically oversees standards, controls and operating methods that have significant financial and operational impact within the context of their own field
• Requires innovative thinking to develop new solutions
• Impacts the technical or functional direction and resource allocation of part of an enterprise function or business segment
• Works within general policies and industry guidelines
• Engages stakeholders to take action; serves as a source of expert advice, influences change; frames information in a broader organizational context
• Provides leadership guidance, makes recommendations and collaborates with business to facilitate that solutions meets the business needs on a complex project or program
• Identifies and leads problem resolution for project/program complex requirements related issues at all levels
• Generally reports to an executive

Experience & Education

• Undergraduate degree
• Relevant professional designations and/or certifications as required
• 10+ years relevant experience

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.

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.

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