Dir. princ., supervision des activités, conformité

Lieu de travail : Toronto, Ontario, Canada

Horaire : 37.5

Secteur d’activité : Conformité

Détails de la rémunération : $108,800 - $163,200 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. Le salaire de base offert peut varier en fonction des compétences et de l’expérience du candidat, de ses connaissances professionnelles, de son emplacement géographique et d’autres besoins particuliers du secteur et de l’entreprise.

En tant que candidat, nous vous encourageons à poser des questions sur la rémunération et à avoir une conversation franche avec votre recruteur, qui pourra vous fournir des détails plus précis sur ce poste.

Description du poste :

Department Overview

TD Wealth Compliance has an immediate need for a Senior Manager, Business Compliance Oversight to provide compliance advisory and second line oversight of The Canada Trust Company, TD Wealth Private Trust and TD registered plan related activities.

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, TD Wealth Private Trust, and Private Banking.

The Associate Vice President (AVP), 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 AVP, Wealth Compliance, the Senior Manager, Business Compliance Oversight provides compliance advisory and second line oversight of The Canada Trust Company, TD Wealth Private Trust and TD registered plan related activities. You will be providing compliance advice, guidance, support and effective challenge of the TCTC, PT and registered plan related activities in meeting regulatory requirements and expectations.

The Senior Manager accountabilities will include, but not limited to:

• Develop, enhance and maintain compliance programs for TCTC, PT and registered plan activities and oversight to address applicable regulatory requirements and Regulatory Compliance Management (RCM) program.
• Provide compliance advisory to stakeholders on various matters as it relates to TCTC, PT and TD registered plan activities.
• Lead and manage Wealth Compliance's development and implementation of assigned Compliance program or other initiatives.
• Independently monitor and assess the adequacy of, adherence to and effectiveness of RCM and conduct risk programs.
• Engage with senior management and stakeholders to develop, implement and/or execute proactive strategies, tactics, policies, procedures, processes and programs to drive efficiencies while effectively managing regulatory compliance risks and requirements.
• Collaborate with stakeholders to gather and assess requirements; consider alignment cross platform or functions; identify, assess and address risks, issues and escalations; and provide compliance advice that aligns with Compliance strategy and objectives and regulatory requirements.
• Lead, draft and/or review reporting on the state of regulatory compliance risks, controls and outcomes.
• Assess, recommend, develop, draft and/or implement policies, procedures, processes, controls and/or actions to address regulatory requirements, initiatives, issues.
• Review business owned policies, procedures, controls, other documentation for regulatory compliance risks.
• Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite.
• Lead or participate in committees or working groups to represent Wealth Compliance, as assigned.
• Provide compliance guidance, challenge and oversight for business projects and initiatives.
• Perform periodic or targeted monitoring activities.
• Keep abreast of emerging issues, trends, best practices and evolving regulatory requirements and assess potential impacts.
• May lead, coach and/or manage a high performing team on delivery of Compliance programs or assigned matters.

Experience & Education

• Undergraduate Degree
• Canadian securities industry courses or training, project management training
• 10+ years relevant experience. Regulatory, compliance or risk management experience is highly desirable
• Significant expertise in trust, securities and banking regulations
• Strong influence skills, with the ability to work collaboratively across multiple management teams
• Proven ability to develop collaborative business relationships
• Ability to work independently and proactively, with support of the AVP on key issues
• Demonstrated excellence in business presentation skills including verbally, in writing and in management reporting
• Detail-oriented, highly organized, and able to work in a dynamic environment
• Ability to make sound business decisions

À propos de nous

La TD est un chef de file mondial dans le secteur des institutions financières. Elle représente la cinquième banque en Amérique du Nord de par son nombre de succursales. 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. La rémunération globale à la TD inclut le salaire de base, la rémunération variable et bien d’autres régimes clés.

Renseignements supplémentaires :

Nous sommes ravis que vous envisagiez une carrière à la TD. Sachez que nous avons à cœur d’aider nos collègues à réussir dans leur vie tant personnelle que professionnelle.

Mesures d’adaptation : L’accessibilité est importante pour nous. N’hésitez pas à nous faire part de toute mesure d’adaptation dont vous pourriez avoir besoin pour participer sans entraves au processus d’entrevue.