Senior Manager, Business Compliance Oversight (1590)

Senior Manager, Business Compliance Oversight (1590)

Senior Manager, Business Compliance Oversight (1590)

Work Location: Toronto, Ontario, Canada

Hours: 37.5

Line of Business: Compliance

Pay Details: $108,800 - $163,200 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.

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 Vice President, TD Asset Management,





Wealth Compliance collaborates and supports Compliance and Wealth businesses in various Compliance areas. The team has an immediate need for a Senior Manager, Business Compliance Oversight with a focus on the Private Investment Counsel business.

Job Details

Reporting to the VP, TD Asset Management, Wealth Compliance, the Senior Manager will lead Wealth Compliance's strategy, development, implementation, and support for assigned initiatives.

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

- 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 regulatory compliance management and conduct risk programs and controls.
- Engage with senior management and stakeholders to develop and execute proactive strategies and programs to drive efficiencies while managing regulatory compliance risks.






- Collaborate with stakeholders to gather and assess requirements; identify, assess, and address risks, issues, and escalations.
- 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 actions to address regulatory requirements.
- Review business-owned policies, procedures, controls, and other documentation for regulatory compliance risks.
- Maintain a culture of risk management and control, supported by effective processes.
- Lead or participate in committees or working groups to represent Wealth Compliance.
- 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.
- May lead, coach, and/or manage a high-performing team on delivery of Compliance programs.

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 securities and/or banking regulations.
- Strong influence skills, with the ability to work collaboratively across multiple management teams.
- Ability to work independently and proactively.
- Demonstrated excellence in business presentation skills.
- Detail-oriented,





highly organized, and able to work in a dynamic environment.
- Ability to make sound business decisions.
- Proven ability to develop collaborative business relationships.

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.

Our Total Rewards Package

Our Total Rewards package reflects the investments we make in our colleagues to help them achieve their financial, physical, and mental well-being goals.

Additional Information:

We’re delighted that you’re considering building a career with TD.

Colleague Development

If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed.







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.

Accommodation

Your accessibility is important to us. Please let us know if you’d like accommodations to help us remove barriers.

Language Requirement (Quebec only): Sans Objet

Our Values

At TD we’re guided by our purpose to enrich the lives of our customers, communities, and colleagues.

Our Commitment to Diversity, Equity, and Inclusion

At TD,





we’re committed to fostering an environment where all colleagues are encouraged to bring their authentic selves to work.

Helping to Make an Impact in Communities – TD Ready Commitment

TD has a long-standing commitment to help drive progress towards a more inclusive and sustainable future.

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