Compliance Business Oversight Manager (3826)

Work Location:

Hours:

Line of Business:

Pay Details:

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:

Job Profile

Provide objective guidance support and advice to assigned portfolio business or function to promote strong Compliance controls and processes are in effect to mitigate inherent associated risks. Contribute to the development and implementation of Compliance programs related to all aspects of Compliance laws.

Job Description

Key Accountabilities

Customer

• Assess insurance needs and offer appropriate policy recommendations that adhere to regulatory standards (e.g. FSRA AMF etc.)

• Stay current with industry regulations product knowledge and continuing education requirements

• Assist in the development and implementation of appropriate Compliance policies processes and controls

• Facilitate the periodic Compliance risk and self-assessment activities for designated business using TDs Enterprise Compliance Risk Assessment Framework

• Monitor that assessments (monitoring risk assessment etc.) are completed and communicated in a continuous and timely fashion

• Guide and complement the assigned portfolio in terms of financial regulatory and risk management requirements

• Interact with control functions within the organization

• Develop analysis and insights prepare and deliver management reporting necessary to promote accurate and thorough measurement of the risk factors present in various products

Shareholder

• Update business line policies and Compliance Team procedures

• Analyze Compliance requirements and establish they are properly written into requirements for business projects and approved at the appropriate levels

• Work with business management and with internal and external business partners (e.g. Internal Audit external consultants) to respond to regulatory requests findings audits and/or examinations

• Keep abreast of emerging issues trends and evolving regulatory requirements in the Compliance industry and assess potential impacts

• Coordinate with other Compliance partners and business governance and control partners to promote consistency in the application of Compliance programs and standards across the enterprise

• Support in determining risk exposure mitigation and controls for new products marketing campaigns and expansion of existing programs

• Conduct enterprise wide annual risk assessment for all TD businesses

• Support the business lines with compliance/risk controls and periodically evaluates risk mitigation efforts to make adjustments as risk/department influences change

• Protect the interests of the organization identify and manage risks and promote the prompt and thorough resolution of escalated non-standard high risk issues

Employee/Team

• Participate fully as a member of the team support a positive work environment that promotes service to the business quality innovation and teamwork and promote timely communication of issues/ points of interest

• Provide thought leadership and/ or industry knowledge for own area of expertise and participate in knowledge transfer within the team and business

• Keep current on emerging trends/ developments and grow knowledge of the business related tools and techniques

• Participate in personal performance management and development activities including cross training within own team

• Keep others informed and up-to-date about the status / progress of projects and / or all relevant or useful information related to day-to-day activities

• Contribute to team development of skills and capabilities through mentorship of others by sharing knowledge and experiences and leveraging best practices.

• Lead motivate and develop relationships with internal and external business partners / stakeholders to develop productive working relationships.

• Contribute to a fair positive and equitable environment that supports a diverse workforce

• Act as a brand ambassador for your business area/function and the bank both internally and/or externally

Breadth & Depth

• Expert level professional role requiring in-depth knowledge / expertise in Compliance and working knowledge of broader related areas

• Provide advanced analysis and/or specialized reporting to support business partners functional areas or centres of expertise

• Integrate the broader organizational context into advice and solutions within the Compliance area

• Understand the industry competition and the factors that differentiate the organization

• Lead projects of moderately to complex risks and resource requirements; may lead end-to-end processes or functional programs

• Contact for business management external/internal auditors dealing with non-routine information

• Recommend and implement solutions within own area of responsibility

• May need to coordinate / integrate work with other areas as needed

• Identify and lead problem resolution for complex requirements related issues at all levels

• Generally reports to a Senior Manager role

Experience & Education

• Solid understanding of insurance seg funds and other insurance investment products

• Undergraduate degree

• Relevant professional designations and/or certifications as required

• 5 years relevant experience

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 deliver legendary customer experiences to 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 the Bank those we serve and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers communities and colleagues.

TD is deeply committed to being a leader in customer experience that is why we believe that all colleagues no matter where they work are customer facing. As we build our business and deliver on our strategy we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether youve got years of banking experience or are just starting your career in financial services we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs were here to support you towards your goals. As an organization we keep growing and so will you.

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. Whether you have a passion for helping customers and want to expand your experience or you want to coach and inspire your colleagues there are many different career paths within our organization at TD and were committed to helping you identify opportunities that support your goals.

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):