Analyst, Business Compliance Oversight (2550)

Work Location: Toronto, Ontario, Canada

Hours: 37.5

Line of Business: Compliance

Pay Details: $59,500 - $84,000 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:

Department Overview

The TD Wealth Compliance Department provides compliance advisory and second line oversight of TD Wealth businesses, including: TD Waterhouse Canada Inc., Private Investment Counsel, TD Asset Management, 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, Training and other projects. A multi-disciplinary team of compliance professionals supports these activities.

Job Details

Reporting to the Senior Manager, Reporting, Data and Technology Enablement, the Analyst will lead in development and maintenance of various management reports, research and maintenance of knowledge management systems, and data strategy and innovation projects. They may also lend support to the broader Compliance program initiatives. The Analyst will execute on a vision of a dynamic and value-added Compliance program, consistent with TD Enterprise Regulatory Compliance Management Framework and relevant compliance requirements.

The Analyst accountabilities will include:

1. Lead and/or support Wealth Compliance's initiatives or action plans.
2. Support Wealth Compliance business management activities such as resource planning and events.
3. Support the use of Wealth Compliance tools, training delivery, and policy updates.
4. Provide support, guidance, reporting, and analysis to businesses/internal team members on Compliance issues and related program risks.
5. Assist with reporting activities and maintain a workback schedule.
6. Design templates for policies, procedures, presentation decks, and other standard work products.
7. Maintain Wealth Compliance presentation, organizational chart, reporting, and user guides.
8. Help design a system of accountability for key documents.
9. Act as Wealth Compliance Data Delegate as required.
10. Support Wealth Compliance's growth and maintenance of innovation and transformation agenda.
11. Contribute to executive briefing materials as required.
12. Assist with audits or other program reviews as required.
13. Build and manage relationships with senior stakeholders across the organization.
14. Gain knowledge of Wealth business units, compliance policies, and regulatory requirements.
15. Foster the development of a compliance culture across the business.
16. Contribute to the overall direction of TDBG Compliance.
17. Special projects.

EXPERIENCE & EDUCATION

1. Exceptional written and presentation skills, with the ability to create high-quality written work.
2. Ability to elicit requirements from a business perspective and articulate those requirements clearly.
3. Strong skills in Microsoft Office suite and familiarity with Tableau.
4. Excellent verbal and written communication skills, self-motivated, and able to manage deadlines.
5. Detail-oriented and highly organized.
6. Ability to articulate critical issues for escalation.
7. Ability to work successfully as a team member and independently.
8. Ability to analyze, organize, and prioritize work while meeting multiple deadlines.

OTHER REQUIREMENTS

1. University or College degree and a minimum of three years of relevant business, Compliance, Legal, or risk management experience in Wealth Management or Securities Compliance.
2. Highly strategic and innovative thinker.
3. Demonstrated excellence in business presentation skills.
4. Experience in Project Management discipline and Risk Management is considered an asset.

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. We deliver legendary customer experiences to over 27 million households and businesses. More than 95,000 TD colleagues contribute to the Bank's mission.

TD is committed to being a leader in customer experience. We support our colleagues' growth and development through various programs.

Our Total Rewards Package
Our Total Rewards package reflects our investments in colleagues to help them achieve their well-being goals.

Additional Information:
We are 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.

Colleague Development
If you're interested in a specific career path, we want to help you succeed.

Training & Onboarding
We provide training and onboarding sessions to ensure your success in your new role.

Interview Process
We'll reach out to candidates of interest to schedule an interview.

Accommodation
Your accessibility is important to us. Please let us know if you'd like accommodations to help us remove barriers during the interview process.

Language Requirement (Quebec only): Sans Objet