Senior Compliance Business Oversight Manager

Work Location:

Toronto, Ontario, Canada

Hours:

37.5

Line of Business:

Compliance

Pay Details:

$108,800 - $163,200 CAD

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 candidate's 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

Reporting to the Vice President Compliance Transformation, the Senior Manager is responsible for the governance of the Enterprise Compliance Regulatory Change Program, including technology, and processes. The incumbent will work with Oversight Functions and Risk Owners across TD.

The main focus of the role will be the facilitation of enterprise-wide oversight and governance of the global regulatory change process, ensuring that monitoring of changes to is being performed in alignment to the RCM Regulatory Change Standard. To that end, the incumbent will engage with various stakeholders, including Oversight Functions (designated Regulatory Change Leads accountability for areas of LRRs and Risk Owners (own and operate controls to mitigate LRR risk) across TD.

This is an exciting opportunity for individuals with expertise in the field of compliance, governance, risk, and controls. Specific accountabilities include the following:

• Act as a subject matter expert and provide objective guidance, review, and support oversight and governance of regulatory change activities

• Perform a leadership role in the ongoing execution of the Regulatory Change Management process with Oversight Functions Regulatory Change Leads

• Perform review of large data sets and leverage business intelligence tools to drive analysis and insight,monitor, and report on compliance with the RCM Regulatory Change Standard

• Lead and facilitate the onboarding to the MERLIN Regulatory Change Managementmodule

• Establish strong working relationship with TD Technology team and third-party data provider vendor to collaborate on activities for the Regulatory Change feed

• Facilitate enterprise-wide oversight and governance and support the global regulatory library process, ensuring that all Law, Rules and Regulation Regulatory Inventory is complete

• Identify and propose improvements to the process, opportunities to automate and streamline, and participate in improvements implementation.

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 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 the Global Regulatory Change and Inventory Governance (GRCIG), the team provides day-to-day support to MERLIN Regulatory Change and Regulatory Inventory.  As a second line of defense, the Senior Manager is responsible for the oversight and monitoring of TD Regulatory Change feed; governing the processes to support the reasonable accuracy and completeness of the Regulatory Change Program; driving a consistent, adaptable, and effective program across Oversight Functions and Risk Owners; overseeing adherence to the RCM Regulatory Change Standard. The role of Senior Manager is to:

• Lead and supportoversightof regulatory changes to drive consistency.

• Develop and communicate enterprise governance and control related to TD's Regulatory Change Program.

• Oversee and report issues associated with the Regulatory Change and theautomated regulatory feeds.

• Develop and deliver specialized/ad hoc training, as required.

Job Requirements

• Good understanding of Compliance processes and regulatory environment, including monitoring and Oversight Functions with RCM accountability

• Knowledge of relevant legislation, regulations, and industry standards, as it applies to Banking, Securities, Insurance, Prudential, Finance, HR, etc.

• Experience with coordination of processes involving multiple groups and stakeholders, ensuring that activities are completed timely and efficiently

• Experience analyzing large data sets and leveraging business intelligence tools to drive analysis and insights

• Experience with implementation of process improvements - understanding of technology implementation lifecycle, ability to articulate business requirement for Technology

• Strong analytical and problem-solving skills with strong attending to detail to drive problem framing and solutioning

• Able to breakdown and describe technical concepts in business terms and frame questions in the correct context for the audience

• Ability to work independently, think critically and make decisions

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

• Highly organized and flexible in prioritizing various work demands

• Ability to influence people and deal with conflicting points of view

• Ability to deal with all levels of staff within the enterprise

• Strong verbal and written communication skills

• Well-developed organizational awareness and business acumen

• Strong relationship management skills

• Able to accept and manage conflicting points of view and work collaboratively

• Ability to think "out of the box" to effect creative and responsive solutions

• Professional experience in a governance related field (e.g. Compliance, Risk Management, AML, Legal, Audit)

Additional Information

• University degree, Law degree (JD or LLB) preferred

• Relevant professional designations and/or certifications as required

• 7+ years relevant experience

Who We Are:

TD is one of the world's 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 95,000 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 you've 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, we're 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:

We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're 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 you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll 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 we're committed to helping you identify opportunities that support your goals.

Training & Onboarding

We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.

Interview Process

We'll 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 you'd 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):

Sans Objet

Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.