Senior Compliance Business Oversight Manager, Tier 2 Surveillance (3239)

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:

Key Accountabilities

Customer

• Lead teams of risk management and compliance professionals performing tier 2 surveillance and associated activities directly supporting the CCO in leading the Surveillance function

• Provide strategic guidance to the TD Wealth Compliance Management Team subsidiary CCOs and their teams

• Develop a strong understanding within the team of the firms environment and the analytic tools to available to help surface potential compliance issues

• Act as an escalation point for issues arising out of compliance reviews and investigations. Take ownership of issues and work with the business towards satisfactory resolutions for all parties

• Contribute to the ongoing development of the team by sharing information knowledge expertise and lessons learned on a regular basis. Act as a thought leader for the team

• Ensure high quality work and development maintenance and/or refinement of standards within the Surveillance area

• Lead the documentation and enhancement of policies and procedures to ensure the program is suitably documented and evidenced

• Continuously develop and maintain knowledge of applicable regulatory and compliance requirements developments and issues

• Support investigations on non-compliant matters and issues through verification of information analysis identification of issues and escalation of questionable issues

• Identify and analyze risk and compliance issues; update review and distribute reports as required; prepare and provide statistical and ad hoc reporting on various regulatory and compliance matters

• Participate in ongoing projects and project committees and key deliverables providing guidance and support and ensuring the prompt and thorough resolution of issues as required

• Support the alignment of the program with other surveillance programs in TD Securities and TD Investment Services

Shareholder

• Actively assist in developing and overseeing implementation of business line policies and Compliance Team procedures

• Oversee respective programs/policies/practices are well managed meets business needs complies with internal and external requirements and aligns with business priorities

• Consistently exercise discretion in managing correspondence information and all matters of confidentiality; escalate issues where appropriate

• Partner with the governance & assurance function to develop annual awareness training

• Conduct enterprise wide annual risk assessment for all TD businesses

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

• Conduct internal and external research projects; support the development/ delivery of presentations / communications to management or broader audience

• Actively manage relationships within and across various business lines corporate and/or control functions and promote alignment with enterprise and/or regulatory requirements

• Keep abreast of emerging issues trends and evolving regulatory requirements and assess potential impacts

• Maintain a culture of risk management and control supported by effective processes in alignment with risk appetite

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

• Recognized as top level expert within the company and requires significant in-depth and/or breadth of expertise in a complex field and knowledge of broader related areas

• Senior specialist providing advisory services to executives business segment leaders and governs the requirements for own work

• Integrates knowledge of the enterprise functions or business segments overarching strategy in leading program design policy formulation or operating standards within one or more areas of expertise

• Anticipates emerging business trends and regulatory/risk issues as a basis for recommending large-scale product technical functional or operations improvements

• Serves as a source of expert advice to senior management in field of specialty

• Advises on execution strategy and leads the development and deployment of functional programs or initiatives within their own field or across multiple specialties

• Solves unique and ambiguous problems with broad impact; typically oversees standards controls and operating methods that have significant financial and operational impact within the context of their own field

• Requires innovative thinking to develop new solutions

• Impacts the technical or functional direction and resource allocation of part of an enterprise function or business segment

• Works within general policies and industry guidelines

• Engages stakeholders to take action; serves as a source of expert advice influences change; frames information in a broader organizational context

• Provides leadership guidance makes recommendations and collaborates with business to facilitate that solutions meets the business needs on a complex project or program

• Identifies and leads problem resolution for project/program complex requirements related issues at all levels

• Generally reports to an executive

Experience & Education

• Undergraduate degree

• Relevant professional designations and/or certifications as required

• 10 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):