Senior Manager, Compliance Monitoring & Testing (M&T) (4529)

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 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 testing 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

Annual Plan Development & Governance

• Lead the development of the annual TDS Canada Monitoring and Testing (M&T) Plan ensuring alignment with Enterprise RCM Standards enterprise risk policies and all applicable procedures.

• Manage plan revisions coordinate changes with Central Compliance Testing and secure approval from the appropriate Compliance executive.

Execution Oversight

• Oversee the timely completion M&T Plan activities in accordance with the approved plan.

• Direct and supervise the collection consolidation and analysis of M&T data to support transparent and accurate reporting.

Data Reporting & Analytics

• Track reconcile and report on execution progress across both RCMcoverage and noncoverage activities.

• Ensure M&T results are accurately reflected in stakeholder updates dashboards and governance reports.

Stakeholder Coordination & Communication

• Provide regular updates to Compliance executives on plan status emerging issues and key trends.

• Work closely with the Compliance M&T Central Services team and other stakeholders to ensure program alignment and effective issue management.

Standards Stewardship & SME Leadership

• Lead a team of testing managers and ensure their ongoing training adherence to Enterprise / department policies procedure and standards and role model our Compliance risk behavior culture (own it raise it know it).

• Serve as the TDS Canada subject matter expert on Enterprise and RCM M&T Standards.

• Review and provide feedback on enterprise guidance communicate updates to stakeholders and oversee development of supporting job aids and procedures for TDS Canada.

Quality Assurance Audit & Issue Management

• Support Compliance Programs Quality Assurance Reviews (QARs) Internal Audit engagements and related remediation activities.

• Proactively identify matters requiring escalation or additional oversight and ensure timely resolution.

Delegated Authority

• Act as the Associate Vice Presidents delegate for M&T initiatives decisions and approvals as required.

Job Requirements

Proficiency requirements and skills:

• 5 years of relevant compliance experience M&T experience preferred.

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

• Solid understanding of Canadian Capital Markets.

• Comfortable engaging with front office staff in a high-volume fast-paced trading environment.

• Excellent written and verbal communication skills.

• 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 and leadership skills.

Other Qualifications/Skills/Experience:

• Proven ability to interpret and apply regulatory requirements in an evolving environment with competing priorities.

• Strong organizational capabilities with the ability to manage multiple projects under tight deadlines.

• Strong criticalthinking and decisionmaking skills.

• Excellent relationshipmanagement skills with the ability to work effectively with staff and leaders across TD Securities and TD Bank Group.

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 strive to make every interaction product and experience remarkably human and refreshingly simple for 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 foster deeper relationships ensure disciplined execution and build a simpler faster banking experience. TD is deeply committed to being a leader in client experience that is why we believe that all colleagues no matter where they work are client facing. Together we are reimagining what banking can be for our clients colleagues and communities.

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.

If youre passionate about helping clients and building deep lasting relationships TD offers diverse career paths where you can grow your expertise and make a meaningful impact.

Were committed to your success and foster a respectful workplace where diverse perspectives are valued everyone has fair opportunities to grow and you can unlock your full potential to achieve your career goals. Here at TD we hire and develop the best.

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):