VP, Compliance Canadian Banking

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:

Department Overview

The Global Compliance Department is responsible for overseeing regulatory compliance across TDBG in accordance with the Global Compliance Operating Framework. The team is accountable for promoting regulatory compliance by developing and maintaining compliance programs including identifying and disseminating regulatory developments to businesses they support maintaining Compliance policies managing complaints and regulatory filings providing relevant training carrying out independent monitoring and oversight activities reporting on the state of compliance to the Board UDP and senior management as needed and providing advice and support as required.

The VP Compliance Canadian Banking reports to the TDBG SVP Chief Compliance Officer of TDBG

Individual Accountabilities:

Accountabilities adhere to the TD Global Compliance Department Mandate follow the executive mandate for the role and are executed in accordance with the Regulatory Compliance Management (RCM) program and related standards.

These include:

• Provide second line of defense risk-based oversight over the regulation of business conduct and market conduct for Canadian Personal Banking and Canadian Business Banking in accordance with the Regulatory Compliance Management Framework (the RCM Framework)

• Provide objective guidance as well as independent challenge to the Corporate Functions areas on regulatory compliance risk management and conduct risk management matters

• Regularly provide an independent compliance viewpoint to the Senior Executive Team leaders for each Corporate Function that includes insights on their risk management across all areas of Regulatory Compliance risk their execution of their responsibilities under the RCM framework and where applicable the efficacy of their Oversight Function responsibilities.

• Lead and maintain the TD Canadian Banking and Consumer Legislation Compliance Programs to promote and foster a strong culture of integrity ethics and regulatory

• Maintain practices and procedures to communicate to the business lines regulatory compliance requirements standards and risks and measures that should be taken to meet requirements and manage regulatory risks.

• Develop and maintain constructive relationships between Senior Business Management across TD and the Senior Compliance Leaders and regulatory agencies to build and maintain trust in TD by our regulators and our business partners.

• Provide routine and regular reporting of activities issues and events through appropriate channels.

• Maintain positive honest transparent and constructive relationships with regulators.

• Share early indications of significant regulatory issues that could significantly impact earnings or reputational risk with Corporate Segment leaders.

• Attract and develop top talent within the team and build a strong succession plan for critical roles

Key Shared Accountabilities

• With 1st Line Business Assist the business in the proactive assessment of regulatory risks and development of strategic risk mitigation plans.

• Facilitating co-ordination between compliance teams in any regional offices in Canada and partner with Canadian Banking Compliance teams in the US.

• Operate as a key member of the Compliance Senior Executive Team the Compliance Teams and the Canadian Banking Leadership Teams

• Representing Canadian Banking on various forums and facilitating coordination with other internal control functions as required e.g. Internal Audit and Operations.

• The strategy and coordination of regulatory exams and investigations.

• Contribute to the direction of TDBG compliance programs.

• Manage a team of compliance professionals

Job Requirements

• University degree required: Post Graduate degree preferred

• 10 years of relevant industry and management experience

• Familiarity with regulations and compliance strategies and risk management; possesses and demonstrates expertise in the advisory policy change management project management and operations

• Highest personal and professional integrity and standards to advance TDs vision and protect the brand

• Strong verbal and written communication skills including public speaking/presentation skills and well developed listening and negotiation skills

• Ability to work in a fast-paced environment and manage multiple priorities

• People leadership and management experience focused on talent development and coaching to nurture a high performing team

• Ability to operate in an evolving sometimes ambiguous matrixed environment.

• Strategic thinker; has excellent judgment achieves the right risk/reward balance

• Demonstrates ability delivering on objectives focuses on what matters and can work across silos to build effective working relationships

• Transparent communicator and respected TD representative both internally and externally

• Models TDs executive leadership profile: skilled leader high confidence low ego inspiring to professionals operates through influence motivates and developments leadership teams

• Advances TDs leadership development colleague experience & diversity agenda

• Possesses an advanced level of financial and strategic acumen to provide insight on strategy development and execute effectively on a broad range of key business management activities

• Strong relationship building and negotiation skills and the ability to interact with sensitivity and leadership to advance and influence the culture Compliance aims to promote

• Demonstrates strong problem solving & analytical skills including the ability to comprehend a situation by breaking it down into its components and identifying underlying issues

• Expertise in working effectively in ambiguity with all levels of colleagues and executives to enhance the colleague experience

• Exhibits confident presentation and facilitation skills and strong interpersonal and leadership skills to facilitate working with business and senior management at all levels

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):