Manager, Compliance Business Oversight (4230)

Work Location:

Hours:

Line of Business:

Pay Details:

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

Job Description

KEY ACCOUNTABILITIES

CUSTOMER

• Lead, coach and manage a high performing team on delivery of Compliance programs

• Proactively identify matters which require additional attention, further escalation or review, and liaise with the appropriate areas to resolve

• Determine and decide policy and/or action based on internal and external industry developments for Compliance Programs

• Proactively review and advise the business of new and changed Compliance regulatory and/or policy changes

• Contribute to the development and implementation of Compliance programs related to all aspects of Compliance laws

• Work with executive team, senior business unit management / partners to develop proactive strategies, tactics, policies and programs to effectively manage regulatory compliance requirements

• Ensure team collaboration with partners on business problems/issues and provide fact-based analytical advice that aligns to strategy and addresses business regulatory requirements and issues

• Review and/or contribute on the development and presentation of analysis and insights back to executive leaders / business partners to drive strategic improvements and address regulatory requirements and issues

• Engage with business partners and business leaders to determine and implement Compliance strategies and directs the compliance culture

• Provide insight, guidance, and recommendation on Compliance subject matter, regulatory and industry issues and acts as a specialized resource to other departments based on subject matter expertise

• Provide explanation and/or resolution for business/Compliance management-based findings

• Manage high risk initiatives and escalations; lead initiatives/guidance as appropriate

• Manage day to day operations of the department and participate in enterprise wide projects

• Advise on day-to-day Compliance matters affecting the business including, but not limited to, customer identification and due diligence, enhanced due diligence, training and compliance testing

• Deliver relevant subject matter expertise and Compliance advice to business management

• Maintain oversight (via review and approval) of all functions and accountabilities related to management reporting and analysis

SHAREHOLDER

• Actively assist in developing and overseeing implementation of business line policies and Compliance procedures, policies, and standards

• Work closely with leaders to develop and operationalize the business plan and deliver on Compliance programs across the enterprise

• Plan and execute on strategic activities, review and communicate results, and adjust priorities accordingly

• Proactively identify key business opportunities, research and recommend enhancements / modifications, develop strategies to achieve recommendations and work closely with team to execute and implement

• Understand risk identification, risk analysis, and risk mitigation according to regulatory requirements and best business practices

• Coordinate and support team and business Compliance related activities as necessary

• Partner with the governance & assurance function to develop various training and awareness programs

• Provide oversight on enterprise wide annual risk assessment process as required

• Protect the interests of the organization – identify and manage risks, and escalate non-standard, high risk transactions / activities as necessary

• Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts

• Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite

• Oversee that employees are building and enhancing their knowledge and expertise; and employees assume responsibility in minimizing operational and regulatory risk by complying with Bank policy and Code of Conduct

• Develop strong relationships and work collaboratively with key partners and business stakeholders

EMPLOYEE / TEAM

• Manage/lead the TD Waterhouse Pro team

• Responsible for management of the overall team providing both leadership and guidance

• Set targets / objectives for the team, and deliver results

• Contribute to the development of business line and/or enterprise functional strategic priorities within their operational area or field of specialty

• Grow team expertise to align with business/enterprise demand and direction; assess team skills and capabilities and continually look for ways to provide and enhance the value delivered

• 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

• Lead the process of setting performance objectives for the team; track, monitor and effectively address and/or reward performance in a timely manner

• Provide thought leadership and/ or industry knowledge and participate in knowledge transfer within the team and business

• Manage employees in compliance with all human resources policies, procedures and guidelines of conduct

• Share knowledge, information, skills, and subject matter expertise among the team and promote the timely communication of issues and encourage good working relationships with other functions and teams

• Support an environment where team freely escalates business challenges; facilitate change through positive reinforcement of milestones and successes

• Recruit for all hires to promote 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

• Act as a brand ambassador for your business area/function and the bank, both internally and/or externally

BREADTH & DEPTH

• Provides people management leadership by hiring the appropriate and qualified talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required

• Lead and manage a team of Compliance professionals and overall operation of a diverse group in an area of moderate risk, complexity or scope, while growing talent, developing skills and capabilities to achieve career goals, support project / initiative success and achieve business results

• Expert knowledge of the business and operational functions supported

• Lead teams with multiple points of internal and external contact including direct contact with Customers

• Work focus time horizon is generally medium to long term (6 months to a year) with moderate to high focus on strategic planning

• Deep knowledge and understanding of businesses / technology, and organizational practices/ disciplines

• Contact for business management, external/internal auditors, dealing with non-routine information

• Sound to advanced knowledge of external competition, industry and/or market trends in relation to own function / business

• Involves contact with cross-functional teams across TDBG, external contacts and/or customers

• Reports to a Senior Manager or above

EXPERIENCE & EDUCATION

• Undergraduate degree

• Relevant professional designations and/or certifications as required

• 7+ 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.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

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 (Quebec only):