Compliance Governance & Operations Officer II

at  TD Bank

JOB DESCRIPTION:

• Department Overview

THE COMPLIANCE BUSINESS OVERSIGHT OFFICER ACCOUNTABILITIES WILL INCLUDE, BUT NOT LIMITED TO:

• Maintain regulatory change intake records, including conducting regular reconciliation of Wealth Compliance regulatory change intake tracker against applicable regulatory updates
• Maintain Wealth regulatory inventory, including facilitating with the administration and reconciliation of regulatory inventory and controls records
• Contribute to regulatory change management notification process, including monitor regulatory change intake source, create and distribute regulatory update communications
• Be a subject matter expert on tools used by Wealth Compliance, such as MERLIN, regulatory change feed, SharePoint, intranet maintenance, Microsoft Office
• Coordinate, prepare for and take minutes of meetings
• Compile and contribute to compliance reporting and presentation materials
• Coordinate the administrative process to update and maintain assigned Wealth Compliance policies and procedures
• Perform periodic or targeted monitoring activities to help assess adherence to and effectiveness of regulatory compliance management and conduct risk programs and controls for Wealth Canada business lines as appropriate
• Contribute to Wealth Compliance process enhancements to increase efficiencies
• Keep abreast of emerging issues, trends, best practices and evolving regulatory requirements and assess potential impacts
• Other projects as assigned

EXPERIENCE & EDUCATION

• Undergraduate degree
• 2+ years relevant experience
• Regulatory, compliance, risk management experience and/or Canadian securities industry courses is highly desirable
• Ability to work independently and proactively
• Detail-oriented, highly organized, and able to work in a dynamic environment
• Ability to make sound judgment
• Proven ability to develop collaborative business relationships

Please refer the Job description for details