Manager, Regulatory Affairs, Regulatory Change -Governance & Control

at  TD Bank

JOB DESCRIPTION

The Manager role reports to the Senior Manager (Regulatory Change), Regulatory Affairs and provides securities and non-securities regulatory subject matter expertise as well as ad hoc special project support for Wealth. In this role, the successful candidate will work closely with partners across the organization including senior executives in the various Wealth lines of business, as well as Compliance, Legal, Risk Management, AML, Products, Credit, Tax, Operations, Technology/Delivery, among others. The role’s mandate is to help promote a sustained culture of best practices through the appropriate intake of issues and to assist with the operationalization of proposed solutions. We are looking for a self-motivated and innovative individual who excels in a fast paced, sometimes ambiguous, and high impact business team.

QUALIFICATIONS/SKILLS/EXPERIENCE

• 5-7 years’ experience in regulatory change, compliance, or consultant/advisory experience
• Deep industry and compliance knowledge and expertise in securities & non-securities regulations, i.e., CIRO, CSA, OSC, OSFI, AMF, etc.
• Strong analytical, critical thinking, and proactive problem management skills.
• Excellent communication skills (oral and written) to communicate clearly at all levels, including ability to prepare executive level decks, memos and reports.
• Excellent organization skills and ability to consume large volumes of information and summarize it in a meaningful way for stakeholders.
• Ability to take initiative, work independently and handle multiple tasks.
• Ability to build strong relationships and influence senior stakeholders.
• Ability to manage work under tight timelines and changing priorities.

EDUCATION

• Completion of a University degree and/or equivalent work experience
• Professional designations in law with a focus on securities, accounting, or compliance are an asset.

TECHNICAL KNOWLEDGE/SKILLS

• Advanced skills with Microsoft product suite (Excel, PowerPoint, Visio etc)

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.

• Conduct intake and gap analyses of new securities and non-securities regulation and/or new projects initiated by the business with non-securities regulatory impact.
• Prepare and present presentation materials to executives across Wealth on regulatory change.
• Utilize regulatory skills to understand and make recommendations for the wealth businesses.
• Overall project management support for the Regulatory Affairs team.
• Work with colleagues in other Governance & Control pillars to achieve project goals.
• Foster an environment and culture that encourages productivity, innovation, process improvement, teamwork, and a high level of professionalism.