Compliance jobs in United States

Work Location:
Toronto, Ontario, Canada

Hours:
37.5

Line of Business:
Governance & Control

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.

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:

ABOUT TD WEALTH

TD Wealth offers a full range of competitive wealth and asset management solutions to retail and institutional clients. We help individual and institutional clients protect, grow and successfully transition their wealth. There are five unique lines of business:

• Advice: Our fastest growing division which includes financial planning, full-service brokerage and private client groups.
• Direct Investing: Canada's largest direct investing brokerage, provides a full set of offerings to retail clients in Canada.
• TD Asset Management (TDAM): A leading North American investment management company comprised of both retail and institutional clients.
• US Wealth: Leverages the branches in TD's US retail arm to offer a suite of products and services to American customers.
• Wealth Shared Services: National back-office support function serving all market-facing businesses across strategic editorial content, business management, business architecture, wealth product, analytics and reporting, and operations.
• Wealth Governance & Controls: National 1B team, advising and supporting the management of the overall risk, control, and governance portfolio for TD Wealth.

G&C OVERVIEW

TD Wealth's Governance & Control (G&C) team partners with the Wealth businesses to design, implement, maintain, and monitor effective internal controls and ensure business activities remain within TD Bank's risk appetite and comply with external regulatory requirements.

The team is responsible for ensuring timely and consistent implementation - across all Wealth businesses - of all risk, control and governance programs, initiatives, policies, and strategic business projects. The Wealth Risk & Governance team acts as the primary contact for the Wealth businesses, working closely with subject matter experts from each Wealth business line. The team works together with the business leaders to implement Wealth-wide Governance & Control methodologies, policy frameworks, standards and practices and are key members of enterprise projects / programs requiring Wealth representation.

OVERVIEW OF THE WEALTH REGULATORY AFFAIRS TEAM

The Regulatory Affairs team is responsible for the intake, analysis, and assistance in the operationalization of regulatory change in the Wealth businesses, as well as thought leadership on Pan-Wealth initiatives with regulatory implications.

The Regulatory Affairs team is made up of four pillars:

• Business Risk Oversight & Privacy
• Regulatory Change
• Tax Advisory & Oversight
• Regulatory Exam Management

JOB DESCRIPTION

The Manager role reports to the Senior Manager (Regulatory Change), Regulatory Affairs and provides securities and non-securities regulatory subject matter expertise as well as ad hoc special project support for Wealth. In this role, the successful candidate will work closely with partners across the organization including senior executives in the various Wealth lines of business, as well as Compliance, Legal, Risk Management, AML, Products, Credit, Tax, Operations, Technology/Delivery, among others. The role's mandate is to help promote a sustained culture of best practices through the appropriate intake of issues and to assist with the operationalization of proposed solutions. We are looking for a self-motivated and innovative individual who excels in a fast paced, sometimes ambiguous, and high impact business team.

PRIMARY RESPONSIBILITIES

• Conduct intake and gap analyses of new securities and non-securities regulation and/or new projects initiated by the business with non-securities regulatory impact.
• Prepare and present presentation materials to executives across Wealth on regulatory change.
• Utilize regulatory skills to understand and make recommendations for the wealth businesses.
• Overall project management support for the Regulatory Affairs team.
• Work with colleagues in other Governance & Control pillars to achieve project goals.
• Foster an environment and culture that encourages productivity, innovation, process improvement, teamwork, and a high level of professionalism.

JOB REQUIREMENTS

Qualifications/Skills/Experience

• 5-7 years' experience in regulatory change, compliance, or consultant/advisory experience
• Deep industry and compliance knowledge and expertise in securities & non-securities regulations, i.e., CIRO, CSA, OSC, OSFI, AMF, etc.
• Strong analytical, critical thinking, and proactive problem management skills.
• Excellent communication skills (oral and written) to communicate clearly at all levels, including ability to prepare executive level decks, memos and reports.
• Excellent organization skills and ability to consume large volumes of information and summarize it in a meaningful way for stakeholders.
• Ability to take initiative, work independently and handle multiple tasks.
• Ability to build strong relationships and influence senior stakeholders.
• Ability to manage work under tight timelines and changing priorities.

Education

• Completion of a University degree and/or equivalent work experience
• Professional designations in law with a focus on securities, accounting, or compliance are an asset.

Technical Knowledge/Skills

• Advanced skills with Microsoft product suite (Excel, PowerPoint, Visio etc)

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