Senior Manager, Compliance Business Oversight

at  TD Bank

THE SENIOR MANAGER ACCOUNTABILITIES WILL INCLUDE, BUT NOT BE LIMITED TO:

• In accordance with TD Enterprise Regulatory Compliance Management (RCM) Framework, lead the execution of Wealth Compliance regulatory change management program and advocacy efforts for a portfolio of new and changing laws and regulations applicable to the TD Wealth businesses
• Act as a Compliance subject matter expertise on other projects and initiatives as directed by the AVP, Compliance
• Lead and support Wealth Compliance RCM responsibilities relating to assigned new and changing laws and regulations, including but not limited to identification, assessment and communication of new laws, rules and regulations; conducting detailed reviews relating to Wealth regulatory library; review and challenge of control mapping; issues management
• Act as a Wealth Compliance representative on TD Wealth regulatory change projects, provide appropriate regulatory guidance related to implementation of changes, and ensure regulatory compliance risks are identified and escalated
• Act as subject matter expertise on applicable regulatory change, emerging regulatory risks, trends, best practices, industry or market developments to ensure that anticipated regulatory changes are considered in business activities, strategic plans, policies and processes, and reporting
• Draft and update TD Wealth Compliance key documents including policies and procedures, compliance manuals and senior management reporting related to assigned regulatory change and ongoing matters
• Participate or lead as a member of the management team in training or presentations on key initiatives
• Lead collaborative work to design and implement stakeholder engagement plans, programs and projects to support strategic objectives
• Collaborate effectively with a broad range of internal stakeholders such as legal, business and control partners on various regulatory compliance reviews, assessments, issues, initiatives
• Build and maintain strong and effective working relationships outside of TD such as industry associations and working groups on advocacy efforts and assigned matters
• Work with executive team, business management and partners to develop proactive strategies, tactics, policies, and programs to effectively manage regulatory compliance issues

EXPERIENCE & EDUCATION

• University degree, Law degree (JD or LLB) preferred
• Minimum 10+ years of relevant business, Compliance, Legal or risk management experience preferred
• Canadian securities industry courses or training, project management, change management training
• Experience in regulatory engagement and working with industry association committees
• Experience in assessing and implementing financial services, banking, securities laws through business or compliance roles
• Strong influence skills, with the ability to work collaboratively across multiple management teams
• Excellent verbal and written communication skills, including presentation skills
• Detail-oriented, highly organized, and able to work in a dynamic environment with changing priorities
• Ability to make sound business decisions
• Proven ability to develop collaborative business relationships

OTHER REQUIREMENTS

• A high degree of professionalism, poise and leadership and strong communication skills, with the ability to represent TD Wealth Compliance with multiple stakeholders across the enterprise and outside the organization
• Analytical and problem-solving skills, including ability to elicit requirements from business perspective, synthesize the information, and articulate those requirements in a manner that can be easily understood.
• Ability to articulate critical issues for escalation and decisions while maintaining ownership of deliverables.
• Ability to deal with conflicting points of view and to effect creative and responsive solutions.
• Strong research, investigative and organizational skills.
• Ability to work independently and proactively, with support of the AVP on key issues

Please refer the Job description for details