Manager, Compliance Governance and Operations (4231)

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 Description

KEY ACCOUNTABILITIES

CUSTOMER

• Manage a team of Compliance professionals providing oversight and control related advisory services to Compliance partners

• Proactively identify matters which require additional attention further escalation or review and liaise with the appropriate areas to resolve

• Provide guidance leadership coaching and oversight as per CIRO Tier 2 guidelines

• Provide subject matter expertise and/or input to projects/initiatives as a representative for the Compliance Surveillance team

• Work with executive team senior business management/ partners to develop proactive strategies tactics policies and programs to effectively manage regulatory/ compliance issues

• Act as key liaison with partners and external groups and provide Compliance subject matter expertise; partner as necessary effectively with key stakeholder groups such as AML Legal Audit Risk

• Coach to oversee that functional/ operational problems are handled appropriately and participate in the negotiation and resolution of complex and/or escalated issues where necessary

• Lead and develop Compliance enterprise-wide frameworks policies standards procedures in coordination with management in line with TDs Compliance Program

• Take corrective action and recommend or implement changes to procedures as required

SHAREHOLDER

• Understand risk identification risk analysis and risk mitigation according to regulatory requirements and best business practices

• Develop strong relationships and work collaboratively with key partners and business stakeholders

• Lead the team to adhere to enterprise frameworks and methodologies related to overall business management activities

• Lead relationships with corporate and/or control functions to promote alignment with enterprise and/or regulatory requirements

• Support team in staying knowledgeable on emerging issues trends and evolving regulatory requirements and assess potential impacts to the Bank

• Assess / identify key issues and escalate to appropriate levels and relevant stakeholders and business management where required

• Identify mitigate and report on risk issues per enterprise policy / guidance and ensure appropriate escalation processes are followed

• Manage business operations to be in compliance with applicable internal and external requirements (e.g. financial controls segregation of duties transaction approvals and physical control of assets)

• Lead relationships with business lines / corporate and/or control functions to promote alignment with enterprise and/or regulatory requirements

• Lead or contribute to cross-functional / enterprise initiatives as an organizational or subject matter expert helping to identify risk / provide guidance for complex situations

• Protect the interests of the organization identify and manage risks and escalate non-standard high risk transactions / activities as necessary

• Manage oversight process risk-based identification and monitoring of related risks and regulatory compliance across the supported functions while ensuring key controls and processes are effectively managed

• Oversee or lead the facilitation and/or implementation of action / remediation plans to address performance / risk / governance issues

• 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

• Manage/lead the TD Waterhouse Pro team

• Responsible for management of the overall team providing both leadership and guidance

• Contribute to the development of Compliance functional strategic priorities within their operational area or field of specialty

• Develops annual and/or long term plans for own area and influences plans well beyond area managed

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

• Grow team expertise to align with Compliance /enterprise demand and direction; assess team skills and capabilities and continually look for ways to provide and enhance the value delivered

• Create and foster a cohesive team and promote a positive work environment. Lead and follow up on action plans to improve employee experience

• Lead the process of setting performance objectives for the team; track monitor and effectively address and/or reward performance in a timely manner

• Manage employees in compliance with all human resources policies procedures and guidelines of conduct

• Share knowledge information skills and subject matter expertise among the team and ensure the timely communication of issues and encourage good working relationships with other functions and teams

• Support an environment where team freely escalates business challenges; facilitate change through positive reinforcement of milestones and successes

• Recruit for all hires to ensure a highly diverse qualified workforce to achieve business objectives

• Establish and foster a cohesive team; promote a fair and equitable environment that supports a diverse workforce and encourage the team to achieve common goals and objectives

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

BREADTH & DEPTH

• Provide people management leadership by hiring the best talent setting goals developing staff managing employee performance and compensation decisions promoting teamwork and handling any/all disciplinary actions as required

• Lead and manage a team of Compliance analyst professionals and overall operation of a diverse group in an area of moderate risk complexity or scope

• Manage an integrated approach with other business management areas broader organization and enterprise as appropriate

• Deep knowledge and understanding of businesses / technology and organizational practices/ disciplines

• Sound to advanced knowledge of external competition industry and/or market trends in relation to own function / business

• Focus on short to medium-term issues

• Reports to a Senior Manager or above

EXPERIENCE & EDUCATION

• Undergraduate degree

• Relevant professional designations and/or certifications as required

• 7 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):