director, audit and compliance
Title posted on CareerBeacon -
Manager, Compliance Business Oversight
Posted on
October 20, 2024
by
Employer details
TD Bank
Job details
Work Location:CanadaHours:37.5Line of Business:CompliancePay Details:We're committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.Job Description:Department OverviewThe TD Wealth Compliance Department provides compliance advisory and second line oversight of TD Wealth businesses, including: TD Waterhouse Canada (a CIRO registrant that includes Private Investment Advice, Financial Planning, and Direct Investing), Private Investment Counsel (an OSC registrant), TD Asset Management (an OSC registrant), TD Investment Services (an MFDA registrant), Private Trust, and Private Banking. Key functions within the unit include the Chief Compliance Officers and their teams for each business line including Regulatory Compliance Management (RCM) Program Management, Reporting, Innovation, Registrations, Training and other projects. A multi-disciplinary team of compliance professionals supports these activities. Given the range of businesses supported, and the breadth of applicable regulations, the day-to-day work of the group is both interesting and complex, requiring compliance and wealth management subject matter expertise. The team has an immediate need for a Manager, Compliance Business Oversight, with a focus on internal compliance reporting, innovation and Wealth Compliance initiativesJob DescriptionReporting to the Senior Compliance Business Oversight Manager, Reporting, Data and Technology Enablement, the Manager will lead in preparing and maintaining various senior and executive management and board reports, research and maintenance of knowledge management systems and data strategy including but not limited by OCDO tasks and innovation projects. They will further support in areas of technology enablement, program effectiveness and efficiency, and compliance training development. Finally, they may at times provide support on broader Compliance initiatives including regulatory change management, audits or other program reviews.The Manager, Compliance Business Oversight accountabilities will include, but not be limited to:Author, analyze and/or review senior and executive management reporting and board reportingWork with executive team, business management/partners to develop proactive strategies, tactics, policies, and programs to effectively manage regulatory/compliance issuesSupport in the development of Compliance enterprise-wide and Wealth Compliance department frameworks, policies, standards, procedures in coordination with management in line with TD's Compliance ProgramSupport opportunities to enhance innovation, workflow capabilities and implementation of modernization initiatives to support technology enablement and digitization of Compliance capabilitiesWork with the Senior manager and other knowledge management professionals in Compliance to adapt Wealth Compliance knowledge management functions to better leverage technologyLead or contribute to cross-functional/enterprise initiatives as an organizational or subject matter expert helping to identify risk and provide guidanceBe the Data Stewart representative for Wealth Compliance to promote alignment with enterprise and/or regulatory requirementsContribute to the development of Compliance functional strategic priorities within their operational areas or field of specialtyKeep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts, participating in knowledge transfer within the team and ComplianceJob RequirementsA high degree of professionalism, poise and leadership and strong communication skills, with the ability to represent TD Wealth Compliance with multiple stakeholders across the enterpriseAnalytical and problem-solving skills, including ability to elicit requirements from business perspective, synthesize the information, and articulate thos
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LocationToronto, ON
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Workplace information
On site
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SalaryNot available
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Terms of employment
Permanent employmentFull time
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Starts as soon as possible
- vacancies
1 vacancy
- Source
CareerBeacon
#2104381
Advertised until
2024-11-19
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