Manager, Compliance Business Oversight

Manager, Compliance Business Oversight

Manager, Compliance Business Oversight

Apply remote type Hybrid locations Toronto, Ontario time type Full time posted on Posted 3 Days Ago time left to apply End Date: January 6, 2025 (10 days left to apply) job requisition id R_1361227

Work Location: Toronto, Ontario, Canada

Hours: 37.5

Line of Business: Compliance

Pay Details: N/A - N/A 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.

Job Description:

Department Overview

The TD Wealth Compliance Department provides compliance advisory and second line oversight of TD Wealth businesses, including: TD Waterhouse Canada, Private Investment Counsel, TD Asset Management, TD Investment Services, Private Trust, and Private Banking.

The team has an immediate need for a Manager, Compliance Business Oversight, with a focus on internal compliance reporting, innovation and Wealth Compliance initiatives.

Job Description

Reporting to the Senior Compliance Business Oversight Manager, the Manager will lead in preparing and maintaining various senior and executive management and board reports, research and maintenance of knowledge management systems and data strategy including but not limited by OCDO tasks and innovation projects. They will further support in areas of technology enablement, program effectiveness and efficiency, and compliance training development. Finally, they may at times provide support on broader Compliance initiatives including regulatory change management, audits or other program reviews.

The Manager, Compliance Business Oversight accountabilities will include, but not be limited to:

• Author, analyze and/or review senior and executive management reporting and board reporting
• Work with executive team, business management/partners to develop proactive strategies, tactics, policies, and programs to effectively manage regulatory/compliance issues
• Support in the development of Compliance frameworks, policies, standards, procedures in coordination with management in line with TD's Compliance Program
• Support opportunities to enhance innovation, workflow capabilities and implementation of modernization initiatives to support technology enablement and digitization of Compliance capabilities
• Lead or contribute to cross-functional/enterprise initiatives as an organizational or subject matter expert helping to identify risk and provide guidance
• Contribute to the development of Compliance functional strategic priorities within their operational areas or field of specialty
• Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts, participating in knowledge transfer within the team and Compliance

Job Requirements

• A high degree of professionalism, poise and leadership and strong communication skills, with the ability to represent TD Wealth Compliance with multiple stakeholders across the enterprise
• Analytical and problem-solving skills, including ability to elicit requirements from business perspective
• Flexibility to adapt to changing priorities combined with an attention to detail and strong organizational skills
• Strong people leadership skills, with the ability to define and articulate a compelling vision and engage a team in support of these goals
• Knowledge of relevant Canadian financial industry legislation
• Knowledge of information management and project management best practices
• Strong research, investigative and organizational skills
• Excellent verbal and written communication skills

Additional Information

• University or College degree and minimum five years of relevant business, Compliance, Legal or risk management experience preferred.
• Law degree (JD or LLB) preferred. Relevant training and industry certifications, e.g. Canadian Securities Course, are desirable.
• Experience in compliance or risk management programs is highly-desirable.
• Experience in retail wealth management or securities compliance is considered an asset.