Senior Manager, Compliance Business Oversight Senior Manager, Compliance Business Oversight …

TD Bank Group
in Toronto, ON, Canada
Permanent, Full time
Be the first to apply
TD Bank Group
in Toronto, ON, Canada
Permanent, Full time
Be the first to apply
Senior Manager, Compliance Business Oversight
Company Overview

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Job Description

CUSTOMER: Lead, coach and manage a high performing team on delivery of Compliance programs
\u2022 Determine and decide policy and/or action based on internal and external industry developments for Compliance Programs
\u2022 Proactively review and advise the business of new and changed Compliance regulatory and/or policy changes
\u2022 Contribute to the development and implementation of Compliance programs related to all aspects of Compliance laws
\u2022 Work with executive team, senior business unit management / partners to develop proactive strategies, tactics, policies and programs to effectively manage regulatory compliance requirements
\u2022 Ensure team collaboration with partners on business problems/issues and provide fact-based analytical advice that aligns to strategy and addresses business regulatory requirements and issues
\u2022 Review and/or contribute on the development and presentation of analysis and insights back to executive leaders / business partners to drive strategic improvements and address regulatory requirements and issues
\u2022 Engage with business partners and business leaders to determine and implement Compliance strategies and directs the compliance culture
\u2022 Provide insight, guidance, and recommendation on Compliance subject matter, regulatory and industry issues and acts as a specialized resource to other departments based on subject matter expertise
\u2022 Provide explanation and/or resolution for business/Compliance management based findings
\u2022 Manage high risk initiatives and escalations; lead initiatives/guidance as appropriate
\u2022 Manage day to day operations of the department and participate in enterprise wide projects
\u2022 Advise on day-to-day Compliance matters affecting the business including, but not limited to, customer identification and due diligence, enhanced due diligence, training and compliance testing
\u2022 Deliver relevant subject matter expertise and Compliance advice to business management
\u2022 Maintain oversight (via review and approval) of all functions and accountabilities related to management reporting and analysis

SHAREHOLDER: Actively assist in developing and overseeing implementation of business line policies and Compliance procedures, policies, and standards
\u2022 Work closely with leaders to develop and operationalize the business plan and deliver on Compliance programs across the enterprise
\u2022 Plan and execute on strategic activities, review and communicate results, and adjust priorities accordingly
\u2022 Proactively identify key business opportunities, research and recommend enhancements / modifications, develop strategies to achieve recommendations and work closely with team to execute and implement
\u2022 Understand TDBG issues / parameters and guide others to protect the reputation and interest of TD by adhering to operating standards and processes related to Compliance
\u2022 Coordinate and support team and business Compliance related activities as necessary
\u2022 Partner with the governance & assurance function to develop various training and awareness programs
\u2022 Provide oversight on enterprise wide annual risk assessment process as required
\u2022 Protect the interests of the organization identify and manage risks, and escalate non-standard, high risk transactions / activities as necessary
\u2022 Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts
\u2022 Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite
\u2022 Oversee that employees are building and enhancing their knowledge and expertise; and employees assume responsibility in minimizing operational and regulatory risk by complying with Bank policy and Code of Conduct


Undergraduate degree
\u2022 Relevant professional designations and/or certifications as required
\u2022 7\u002B years relevant experience Advanced knowledge of multiple compliance disciplines, strategy, objectives, consulting principles, operating environment, banking industry, products and services, procedures, laws, rules, regulations, processes, risk and controls
\u2022 Knowledge of risk management environment, standards, regulations and mitigation
\u2022 Knowledge of compliance trends, emerging risk areas and regulatory changes
\u2022 Ability to lead, plan, implement and evaluate program/project activities to ensure completion of initiatives
\u2022 Ability to contribute to strategic direction of the Compliance advisory function and provide trusted and reliable reporting, advice and opinion to senior leadership
\u2022 Ability to establish goals and objectives that support the strategic plan
\u2022 Skill in preparing and managing budgets and resource allocation
\u2022 Skill in mentoring, coaching and performance management
\u2022 Skill in using advanced analytical software tools, data analysis methods and specialized reporting techniques
\u2022 Skill in using computer applications including MS Office
\u2022 Ability to communicate effectively in both oral and written form
\u2022 Ability to work collaboratively and build relationships across teams and functions
\u2022 Ability to work successfully as a member of a team and independently
\u2022 Ability to exercise sound judgement in making decisions
\u2022 Ability to analyze, organize and prioritize work while meeting multiple deadlines
\u2022 Ability to handle confidential information with discretion A person can be designated as a Chief Compliance Officer and must fulfill any regulatory requirements for that role in the relevant jurisdiction as required. A chief compliance officer must not perform an activity as a part of the responsibilities of the chief compliance officer unless the individual has the education, training and experience that a reasonable person would consider necessary to perform the activity competently. The chief compliance officer of a registered firm must do all of the following: (a) establish and maintain policies and procedures for assessing compliance by the firm, and individuals acting on its behalf, with securities legislation; (b) monitor and assess compliance by the firm, and individuals acting on its behalf, with securities legislation; (c) report to the ultimate designated person of the firm as soon as possible if the chief compliance officer becomes aware of any circumstances indicating that the firm, or any individual acting on its behalf, may be in non-compliance with securities legislation and any of the following apply: (i) the non-compliance creates, in the opinion of a reasonable person, a risk of harm to a client; (ii) the non-compliance creates, in the opinion of a reasonable person, a risk of harm to the capital markets; (iii) the non-compliance is part of a pattern of non-compliance; (d) submit an annual report to the firms board of directors, or individuals acting in a similar capacity for the firm, for the purpose of assessing compliance by the firm, and individuals acting on its behalf, with securities legislation.




At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live and serve. If you require an accommodation for the recruitment/interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.