AVP, Regulatory Affairs & AI Governance

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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 candidates 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:

The AVP will provide strategic leadership and enterprise-level oversight in advancing Wealths Trustee and Agent governance framework together with the AI governance framework for Wealth with accountability for strengthening registered plans tax oversight regulatory compliance and control effectiveness across Wealth business lines.

This role is responsible for setting the direction for sustainable governance practices driving modernization of processes and controls and ensuring end-to-end accountabilities are clearly defined well understood and effectively executed. The AVP will lead cross-functional initiatives resolve complex regulatory and operational issues and influence senior stakeholders to support a strong risk management culture and improved business outcomes.

Key Accountabilities

Registered Plans

• Lead the modernization of Wealths registered plan framework establishing enhanced governance practices and sustainable operating models.
• Define and oversee capabilities required to support both business-as-usual and ad hoc governance activities across registered plans programming.
• Promote consistent stakeholder training standardized data sets and reporting capabilities to support effective oversight of registered plan compliance.

Tax Support and Oversight

• Oversee regulatory and tax support provided to Wealth business lines including guidance on adherence to applicable tax requirements.
• Provide strategic oversight of tax analysis related to complex corporate actions complex client or operational scenarios and programs such as Qualified Intermediary FATCA and CRS.
• Act as a senior subject matter expert on the regulatory legislative tax and operational environments impacting securities and non-securities Wealth business lines.

Risk Mitigation and Regulatory Compliance

• Oversee regulatory exams and engagements privacy assessments and drive regulatory and internal remediation in a timely and sustainable manner.
• Monitor regulatory developments related to registered plans and tax including changes to existing plans and the creation of new plan types and assess potential implications to Wealth.
• Support the development of G&Cs responsible AI governance strategy ensuring solutions align with enterprise frameworks governance expectations and regulatory principles.
• Partner with internal technology teams to drive innovation and ensure safe responsible AI adoption.

Leadership and Stakeholder Influence

• Serve as a senior change leader in support of regulatory compliance industry and business transformation.
• Influence and collaborate with senior stakeholders business leaders control partners and enterprise functions to drive alignment and sustainable execution.
• Proven people leadership capability including coaching senior talent building high-performing teams and creating clarity across a broad stakeholder network.
• Understanding of risk frameworks (e.g. 3LoD regulatory expectations audit controls) is an asset.
• Ability to manage shared accountability metrics and drive alignment across multiple stakeholders.
• Experience with automation AI applications or digitization programs.
• Foster a culture of accountability sound risk management continuous improvement and enterprise collaboration.

Executive Profile

The successful candidate is a strategic risk-focused executive with strong governance regulatory tax and control experience within a complex financial services environment. They bring the ability to translate regulatory and business requirements into practical operating models influence senior stakeholders and lead teams through change while maintaining a strong focus on risk mitigation execution discipline and sustainable business outcomes.

Requirements

Who We Are:

TD is one of the worlds leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day we strive to make every interaction product and experience remarkably human and refreshingly simple for over 27 million households and businesses in Canada the United States and around the world. More than 95000 TD colleagues bring their skills talent and creativity to foster deeper relationships ensure disciplined execution and build a simpler faster banking experience. TD is deeply committed to being a leader in client experience that is why we believe that all colleagues no matter where they work are client facing. Together we are reimagining what banking can be for our clients colleagues and communities.

Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial physical and mental well-being goals. Total Rewards at TD includes a base salary variable compensation and several other key plans such as health and well-being benefits savings and retirement programs paid time off banking benefits and discounts career development and reward and recognition programs. Learn more

Additional Information:
Were delighted that youre considering building a career with TD. Through regular development conversations training programs and a competitive benefits plan were 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. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations requirements.

Colleague Development

If youre interested in a specific career path or are looking to build certain skills we want to help you succeed. Youll have regular career development and performance conversations with your manager as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.

If youre passionate about helping clients and building deep lasting relationships TD offers diverse career paths where you can grow your expertise and make a meaningful impact.

Were committed to your success and foster a respectful workplace where diverse perspectives are valued everyone has fair opportunities to grow and you can unlock your full potential to achieve your career goals. Here at TD we hire and develop the best.

Training & Onboarding
We will provide training and onboarding sessions to ensure that youve got everything you need to succeed in your new role.

Interview Process
Well reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation
Your accessibility is important to us. Please let us know if youd like accommodations (including accessible meeting rooms captioning for virtual interviews etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you!

Language Requirement (Quebec only):