Senior Manager, Compliance Business Oversight, Compliance Advisory (3862)

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Hours:

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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:

Department Overview

The TD Securities Inc. (TDSI) Compliance Department is responsible for the compliance strategy and oversight programs including designing and implementing monitoring and supervisory programs for the firm. This is accomplished by:

• Conducting monitoring and surveillance

• Providing training and education

• Liaising with regulators

• Promoting a compliance culture within the firm

• Taking preventative measures to ensure compliance with the rules and regulations

• Reviewing new business opportunities such as new products or markets from a compliance perspective

Job Description

The Director/Senior Manager position is a senior member of the compliance team responsible for executing the compliance program related to TD Securities Canadian business specifically regulatory requirements surrounding TDSI Sales and Trading in the listed markets. This position will report to the AVP & Head Compliance Advisory. More specifically the role shall lead a team that provide a major contribution to the overall prevention and detection of reputational financial and regulatory risks related to TDSI.

Primary Responsibilities

• Support the AVP in day-to-day management of the compliance team including ensuring the team can execute its mandate and deliver its ongoing responsibilities and fulfill its reporting obligations.

• Lead a team including coaching training work output quality assurance and oversight of direct and indirect reports.

• Provide input and actively participate on proposed or new regulatory initiatives affecting the Canadian Marketplace including liaising with different parts of the organization assessing risk to TDSI and all follow-up with the regulators. Be part of the relevant internal and external working groups and committees regarding regulatory change.

• Provide timely advise and ongoing guidance to the business on relevant policies and procedures.

• Develop key partnerships and foster collaborative relationships with internal stakeholders and business partners.

• Assist in executing the second line of defense responsibilities of the Enterprise Regulatory and Compliance Management Framework.

• Assist in maintaining designing and creating supervisory reviews to ensure compliance oversight align with business strategies.

• Interact with IT support and Risk Management to ensure technology and business practices remain compliant with Firm policies and industry regulations.

• Develop and maintain relationships with counterparts at each of the relevant Canadian Securities Regulators and maintain a high level of awareness of compliance related changes and developments in the securities industry.

Job Requirements

Proficiency Requirements and Skills:

• 10 years of relevant compliance experience.

• A strong familiarity with CIRO MX OSC and applicable securities Commission regulations.

• Strong knowledge of Canadian Capital Markets preferably equities and equity derivatives markets structure and/or operations.

• Comfortable in a trade desk environment and communicating with front office staff members in a fast-paced environment.

• Excellent communication skills both written and oral

• Strong personal integrity in dealing with confidential and sensitive information.

• Self-motivated confident and capable of working both independently and in a team environment.

• Strong people management skills.

Other Qualifications/Skills/Experience:

• Ability to understand analyze interpret and apply such regulation in an operational context in an environment that is ever changing and has competing priorities.

• Ability to manage and prioritize multiple projects many with tight deadlines.

• Ability to think critically and make decisions.

• Strong interpersonal relationship management skills and ability to deal with staff and management at all levels in TD Securities and TDBG

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):