Senior Compliance Business Oversight Manager (4829)

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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:

Department Overview

The Global Compliance Department is responsible for overseeing Regulatory Compliance across TDBG in accordance with the Global Compliance Department Mandate Framework and Standards. This includes independently assessing the adequacy adherence and effectiveness of Regulatory Compliance Management (RCM) programs and controls in the business. The department also delivers objective guidance and independent challenge to the business proactively managing regulatory change and providing trusted and reliable reporting advice and opinion to senior leadership and the Board on the state of regulatory compliance risks controls and outcomes.

As part of Enterprise Corporate Office Compliance (COC) the Senior Manager will provide leadership of the RCM program engaging with Corporate Functions that are Oversight Functions (accountable for RCM oversight of laws rules and regulations) and Risk Owners (manage controls to mitigate regulatory compliance risk). As a Second Line Compliance Function the Senior Manager provide objective advice and independent challenge of Corporate Functions adherence to the RCM Framework and Standards and broader Compliance programs and will report to the AVP Enterprise Corporate Office Compliance. The role of the Senior Manager is to:

• Lead develop and coach a team responsible for Second Line oversight of the RCM Framework and Standards

• Develop RCM and COC program (e.g. third party related party reporting) subject matter expertise and strong understanding of the Corporate Functions program to effectively oversee regulatory compliance risk.

• Contribute to the development and implementation of Compliance programs.

• Provide trusted advice guidance and review and challenge to Oversight Functions and Risk Owners in alignment to the RCM Framework and Standards

• Lead complex discussions with an Executive stakeholder group gain consensus and drive appropriate outcomes.

• Articulate regulatory compliance risk issues in a simplified easy to understand manner in communication and reporting to Executive Committees and the Board

• Develop a strong understanding of the federated model and lines of defense to effectively navigate to deliver on mandate.

• Prepare Executive communication briefing materials policies and standards departmental procedures.

• Develop strong working relationship and partner with other Compliance Units including US Compliance on RCM Program requirements.

• Champion the Compliance Programs by leading initiatives forums discussions and representing COC at Corporate Functions meetings committees and working groups.

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

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

Job Requirements

• Undergraduate degree

• Relevant professional designation 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 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):