JOB DESCRIPTION:

The Senior Manager role reports to the AVP, Regulatory Affairs providing leadership in managing a team who provides guidance, oversight and remediation support for Registered Products for TD Wealth.
The successful candidate will focus on Registered Products and will work closely with partners across the organization including executives in the various Wealth lines of business, Compliance, Legal, Risk Management, Products, Credit, Tax, Operations, Technology/Delivery, among others. The role’s mandate is to help promote a sustained culture of best practices and compliance through the appropriate review and analysis of registered plans. We are looking for a self-motivated and innovative individual who has experience working in a highly complex and diverse function while growing talent, developing skills and capabilities to achieve career goals, support project / initiative success and achieve business results.

JOB REQUIREMENTS:

Qualifications/Skills/Experience

• 10 years’ experience in compliance, Trust, or consultant/advisory experience, preferably with accounting or law firm.
• Deep industry and compliance knowledge and expertise in the various Registered Plan products and regulations.
• People management experience, in terms of hiring, goal setting, coaching staff, and setting overall direction and strategy of the team.
• Deep industry and compliance knowledge and expertise in the various Registered Plan products and regulations is considered strong asset.
• 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.
• Advanced skills with Microsoft product suite (Excel, PowerPoint, Visio etc), in particular PowerPoint is essential.

Education

• Completion of a University degree and/or equivalent work experience
• Post graduate degree (Masters Degree) is considered an asset
• Professional designations in Accounting and/or Law are 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.

Stakeholder Engagement

• Act as a subject matter expert and central point of reference for internal business partners regarding registered plans and provide the necessary guidance and support
• Build effective relationships with internal stakeholders, capable of collaborating and fostering relationships within the Business and with cross-functional working groups
• Accountable to remain current in developments in legislative and operational matters related to registered plans and assess any implications
• Working with internal and external legal counsel, team members and other stakeholders to ensure content is accurate and compliant with applicable laws, rules and governing regulatory bodies.
• Participate and help lead TD Wealth registered plans governance related committees and working and project working groups.

Regulatory Reporting & Operations

• Prepare and present materials to executives across Wealth on activities, issues, status updates, KPI’s and potential risk to Wealth with clear and concise communication.
• Conducting industry research and staying current on best practices, products, and emerging risks and technologies.
• Promote strong both change management and governance and control practices across the business Wealth lines of business, while identifying opportunities for improvement and recommend appropriate solutions
• Accountable to review agreements between the Trustee & Agents related to policies, procedures, and controls for accuracy and adherence to policy and risk management principles and appropriate definitions are applied.
• Identify potential policy, procedure, & control needs arising from legal and tax issues, whether arising from existing or proposed legislation or other sources and draft policy to address such issues where required

People Leadership

• Responsible for management of the overall team providing both leadership, guidance, and expertise; ensures team adheres to enterprise frameworks and methodologies
• Support team in staying knowledgeable on emerging issues, trends and evolving regulatory requirements
• Help build and lead a high performing team; provide on-going feedback and performance reviews, coach and develop employees and ensure performance management activities are undertaken and completed for all employees
• Support an environment where team freely escalates business challenges; facilitate change through positive reinforcement of milestones and successes
• Recruit for all hires to ensure a highly diverse, qualified workforce to achieve business objectives
• Establish and foster a cohesive team; promote a fair and equitable environment that supports a diverse workforce and encourage the team to achieve common goals and objectives