Compliance Oversight Officer

at  TD Bank

JOB DESCRIPTION:

Headquartered in Toronto, Canada, with ~95,000 employees around the world, the Toronto-Dominion Bank and its subsidiaries are collectively known as TD Bank Group (TD). TD offers a full range of financial products and services to over 27.5 million customers worldwide with CDN$1.9 trillion in assets on July 31, 2023. The Toronto-Dominion Bank trades on the Toronto and New York stock exchanges under the symbol “TD”.

JOB REQUIREMENTS:

• Deep regulatory, industry and operational knowledge.
• Experience in compliance or risk management programs, with preference for candidates who can demonstrate development of program elements and implementation regulatory change management.
• Deep experience and understanding of investment management products and strategies.
• Ability to assess compliance and other risks to prioritize issues and properly balance competing risks and priorities.
• Registration as Compliance Oversight Officer for TD Epoch UK with local UK securities regulator
• Ability to manage large number of complex issues and priorities effectively at the same time, and juggle priorities as demands warrant.
• Demonstrated ability to provide actionable advice to assist the business in achieving business goals in a compliant manner.
• Ability to work collaboratively across multiple management teams.
• Analytical and problem-solving skills, including the ability to elicit requirements from the business perspective, synthesize the information and articulate those requirements in a manner that can be easily understood.
• Ability to articulate critical issues for escalation.
• Solid research, investigative and organizational skills.

SPECIFIC EDUCATIONAL REQUIREMENTS / ACCREDITATIONS

• University or College degree and minimum of 7+ years relevant business, Compliance, Legal or risk management experience preferred.
• Law degree (JD or LLB) preferred. Relevant training and industry certifications are desirable.
• Undergraduate degree with a major/specialty in investment industry is an asset.

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.

Please refer the Job description for details