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Senior Manager, Compliance Governance & Operations

TD Bank - 402 Jobs
Toronto, ON
In-person
Full-time
Experienced
Company Benefits
Paid Time Off
Posted 2 days ago

Work Location:

Toronto, Ontario, Canada

Hours:

37.5

Line of Business:

Compliance

Pay 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 Overview

The Global Compliance Department is responsible for overseeing regulatory compliance across TDBG in accordance with the Regulatory Compliance Management Framework. The team is accountable for promoting regulatory compliance by developing and maintaining compliance programs, including identifying and disseminating regulatory developments to businesses they support, maintaining Compliance policies, managing complaints and regulatory filings, providing relevant training, carrying out independent monitoring and oversight activities, reporting on the state of compliance to the Board and senior management, as needed, and providing advice and support, as required.

Job Description

The Senior Manager, Compliance Governance & Operations reports to the AVP, Compliance, strategic Insights and Board Reporting.

Individual Accountabilities:

  • Is accountable for Regulatory Risk, Issues and Data Insights executive reporting including all materials prepared for the TD Bank Board of Directors, enterprise risk committees, and others, as required
  • Manages engagement across Compliance teams to understand root causes and common themes of issues and provides trend and insight analysis to drive effective issues management reporting (including, e.g., insights from complaints, surveillance and investigation activities)
  • Acts as the liaison with and coordinates current status and insight reporting of regulatory findings across all Compliance Units to inform critical thinking and analysis for reporting.
  • Supports the escalation/reporting of all Compliance risk matters to the Compliance SET
  • Supports escalation/reporting of all Compliance risk matters to the CRO and/or senior Business management
  • Anticipates emerging issues and trends and translates business and organizational challenges into sustainable strategic insights to support the CCO and the group to manage risks and meet regulatory expectations
  • Together with Compliance Governance & Assurance, develops business and performance reporting, analytics & insights to enable effective business management, resource management/capacity planning and decision-making

Job Requirements

  • Expert in compliance regulations, strategies, and risk management; possesses and demonstrates expertise in the advisory, policy, change management, project management and operations
  • Knowledge of Banking, Securities and provincial/state Laws, Rules and Regulations is preferred.
  • Strategic thinker; has excellent judgment and the ability to anticipate emerging trends and both critical analysis and effective writing skills.
  • Excellent communication and presentation skills, including public speaking/presentation skills and well developed listening and negotiation skills
  • Highest personal and professional integrity and standards to advance TD's vision and protect the brand
  • Previous experience with data analysis and reporting is an asset.
  • Ability to work in a fast-paced environment and manage multiple priorities
  • People leadership and management experience focused on talent development and coaching to nurture a high performing team
  • Ability to operate in an evolving, sometimes ambiguous, matrixed environment.
  • Demonstrates ability delivering on objectives, focuses on what matters and can work across silos to build effective working relationships
  • Transparent communicator and respected TD representative, both internally and externally
  • Models TD's executive leadership profile: skilled leader, high confidence, low ego, inspiring to professionals, operates through influence, motivates and developments leadership teams
  • Advances TD's leadership development, colleague experience & diversity agenda
  • Possesses an advanced level of financial and strategic acumen to provide insight on strategy development
  • Strong relationship building and negotiation skills and the ability to interact with sensitivity and leadership to advance and influence the culture Compliance aims to promote
  • Demonstrates strong problem solving & analytical skills, including the ability to comprehend a situation by breaking it down into its components and identifying underlying issues
  • Can manage a diverse group of professionals and mobilize teams against complex requirements
  • Expertise in working effectively in ambiguity with all levels of colleagues and executives to enhance the colleague experience
  • Exhibits confident presentation and facilitation skills and strong interpersonal and leadership skills to facilitate working with business and senior management at all levels

EXPERIENCE & EDUCATION

  • Undergraduate degree
  • Relevant professional designations and/or certifications, including law degree, preferred
  • 10+ years relevant experience

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.

Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical, and mental well-being goals. Total Rewards at TD includes a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs. Learn more

Additional Information:
We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home.
Colleague Development
If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we're committed to helping you identify opportunities that support your goals.

Training & Onboarding
We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.

Interview Process
We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.


Accommodation
Your accessibility is important to us. Please let us know if you'd like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.
We look forward to hearing from you!

Language Requirement:

N/A.
Competition Number: R_1356327
Company Website: jobs.td.com/
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About TD Bank

About TD Bank

The Toronto-Dominion Bank & its subsidiaries are collectively known as TD Bank Group (TD). TD is the sixth largest bank in North America by branches & serves approximately 22 million customers in a number of locations in key financial centres around the globe. Over 85,000 TD employees represent the strongest team in banking. Delivering legendary customer experiences is who we are & is part of being the Better Bank. Visit our Careers page to learn more about TD & why TD is a great place to work.