Analyste i, supervision des activités, conformité

Lieu de travail : Toronto, Ontario, Canada

Horaire : 37.5

Secteur d’activité : Conformité

Détails de la rémunération : $59,500 - $84,000 CAD

La TD a à cœur d’offrir une rémunération juste et équitable à tous les collègues. Les occasions de croissance et le perfectionnement des compétences sont des caractéristiques essentielles de l’expérience collègue à la TD. Nos politiques et pratiques en matière de rémunération ont été conçues pour permettre aux collègues de progresser dans l’échelle salariale au fil du temps, à mesure qu’ils s’améliorent dans leurs fonctions.

Description du poste :

Department Overview

The TD Wealth Compliance Department provides compliance advisory and second line oversight of TD Wealth businesses, including: TD Waterhouse Canada Inc. (an CIRO registrant that includes Private Investment Advice, Financial Planning, and Direct Investing), Private Investment Counsel (an OSC registrant), TD Asset Management (an OSC registrant), 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 (e.g. data repositories, document types, document version control, template design, regular review and sign-off), and data strategy and innovation projects. They may at times also lend support to the broader Compliance program initiatives.

The Analyst accountabilities will include, but not be limited to:

• Lead and/or support Wealth Compliance's initiatives or action plans
• Support Wealth Compliance business management activities such as resource planning and events
• Support the use of Wealth Compliance tools, training delivery, policy updates
• Provide a range of support, guidance, reporting and analysis to businesses/internal team members on Compliance/ Center of Excellence issues and related program risks and issues
• Assist with the completion of reporting activities and maintain a workback schedule
• Designing templates for policies, procedures, presentation decks, management and board reporting and other standard work products for use by the Compliance team.
• Maintain certain Wealth Compliance presentation, organizational chart, reporting, user guides, intranet or SharePoint sites
• Help design a system of accountability for key documents, including an inventory of materials with owners for each and a regular update schedule
• Acting as Wealth Compliance Data Delegate as required, and working with the Lead Data Steward where applicable, to ensure that Wealth Compliance meets its data related standards and requirements
• Support Wealth Compliance's growth and maintenance of innovation and transformation agenda and portfolio, in conjunction with the Compliance leadership team.
• Support creation of and contribute to executive briefing materials, as required
• Assist with audits or other program reviews as required.
• Build and manage relationships with senior stakeholders across the organization to deliver on strategic commitments.
• Gain substantive knowledge of Wealth business units, compliance policies and regulatory requirements to add value to the design and drafting of key documents.
• Foster the development of a compliance culture across the business.
• Contribute to the overall direction of TDBG Compliance by ensuring alignment with corporate philosophy and strategic direction while protecting the reputation of the Bank.
• Special projects

EXPERIENCE & EDUCATION

• Exceptional written and presentation skills, including the ability to work unsupervised and create a high-quality written work product.
• Ability to elicit requirements from business perspective, synthesize the information, and articulate those requirements in a manner that can be easily understood.
• Strong skills in Microsoft Office suite and desktop software applications. Understanding with Tableau and other report generation and presentation software will be an asset.
• Excellent verbal and written communication skills, self-motivated with the ability to learn and adapt quickly.
• Detail-oriented, highly organized, and able to work in a dynamic environment.
• Ability to articulate critical issues for escalation and decisions while maintaining ownership of deliverables.
• Ability to work successfully as a member of a team and independently.
• Ability to analyze, organize and prioritize work while meeting multiple deadlines.

OTHER REQUIREMENTS

• University or College degree and minimum three years of relevant business, Compliance, Legal or risk management experience in Wealth Management or Securities Compliance is considered an asset.
• Highly strategic, innovative thinker with ability to see the bigger picture.
• Demonstrated excellence in business presentation skills including verbally, in writing, and in management report generation required.
• Experience in Project Management discipline and Risk Management is considered an asset.

À propos de nous

La TD est un chef de file mondial dans le secteur des institutions financières. Chaque jour, nous offrons une expérience client légendaire à plus de 27 millions de ménages et d’entreprises au Canada, aux États-Unis et partout dans le monde.

Notre programme de rémunération globale reflète les investissements que nous faisons pour aider nos collègues et leur famille à atteindre leurs objectifs en matière de bien-être mental, physique et financier.

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