Manager, Compliance Monitoring & Testing (3900)

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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:

Position Summary

TD has enhanced its Regulatory Compliance Management Framework (RCM) and is implementing new and/or enhancements to existing programs to support a strong risk culture and comprehensive approach to managing regulatory compliance risk. This position is a newly created role on the Core Compliance team to oversee and manage the implementation of key programs that support the RCM and assist with the integration of the newly acquired businesses and expansion of the Core Compliance program.

Responsibilities

• Lead the development execution and oversight of an effective Compliance Monitoring and Testing program.

• Work with the relevant businesses and functions to obtain information /documentation to carry out relevant compliance testing.

• Communicate extensively (orally and in writing) with the relevant businesses and functions regarding deficiencies and required remedial actions related to compliance testing.

• Analyze and summarize information/documentation responsive to compliance testing. Identify mitigating facts and circumstances (as applicable) to rebut issues identified during testing or other engagements.

• Prepare substantive written responses on the outcome of compliance testing and required remediation.

• Work closely with other regional Monitoring & Testing leads of TDS Compliance on any emerging risk issues or common theme where there is need for collaboration.

• Develop and deliver engaging compliance training to relevant employees.

• Reviewing marketing and promotional materials to ensure compliance with market conduct and regulatory requirements.

• Provide strategic advice and regular updates to management regarding the matters being handled including but not limited to the timely escalation and resolution of potential issues.

• Support the development of CAD policies and procedures for Core Compliance functions and liaise with the global policies team on behalf of Canada.

• Assist in the ongoing development of core compliance processes.

• Assist with trade desk reviews in accordance with TDS Compliance mandate.

• Participate in enterprise-wide special projects.

• Cross train across the Advisory team to ensure team coverage.

Proficiency Requirements and Skills:

• University degree required.

• 5 or more years securities compliance or related securities experience required.

• Strong knowledge of CIRO MX OSC and other related Laws Rules and Regulations applicable to the Canadian securities marketplace.

• Knowledge of operations finance regulatory reporting sales and trading and applicable rules and regulations and the ability to learn new areas while supporting them.

• Excellent interpersonal organizational leadership and communication (oral and written) skills.

• Client service skills the candidate must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory interactions.

• Strong analytical skills attention to detail solid judgment and the ability to evaluate complex regulatory business issues.

• Project management skills and ability to manage multiple work streams involving different partners and groups.

• Ability to thrive in a fast-paced deadline-driven environment including by demonstrating excellent time management and planning skills along with the ability to handle multiple assignments at the same time.

• Ability to interact effectively with all levels of the organization and to work collaboratively on teams of varying size.

• A relationship builder with the ability to establish develop and maintain effective working relationships with regulators and with business and functional partners at the firm.

• Proficient in MS Office

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):