Compliance Governance - Toronto, Canada - TD Bank

TD Bank

Verified Company

Toronto, Canada

3 weeks ago

Posted by:

Sophia Lee

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Description

Work Location:

Toronto, Ontario, Canada

Hours:

37.5

Line of Business:

Compliance

Pay Details:

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Department Overview

The TD Wealth Compliance Department provides compliance advisory and second line oversight of TD Wealth businesses, including: TD Waterhouse Canada Inc. (an 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 Wealth Insurance Services, Private Trust, and Private Banking.

The team has an immediate need for a Compliance Business Oversight Officer to support the Wealth Compliance Regulatory Change team.
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Job Details

Reporting to Senior Manager, Compliance Business Oversight, the Compliance Business Oversight Officer will be supporting the administration, coordination, review, execution and/or implementation of Wealth Compliance Regulatory Change Management program elements, Regulatory Compliance Management (RCM) program elements, as well as other Wealth Compliance reviews and processes as assigned.

The Compliance Business Oversight Officer accountabilities will include, but not limited to:

Maintain regulatory change intake records, including conducting regular reconciliation of Wealth Compliance regulatory change intake tracker against applicable regulatory updates:

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Maintain Wealth regulatory inventory, including facilitating with the administration and reconciliation of regulatory inventory and controls records:

Contribute to regulatory change management notification process, including monitor regulatory change intake source, create and distribute regulatory update communications:

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Coordinate, prepare for and take minutes of meetings:

Compile and contribute to compliance reporting and presentation materials:

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Coordinate the administrative process to update and maintain assigned Wealth Compliance policies and procedures:

Perform periodic or targeted monitoring activities to help assess adherence to and effectiveness of regulatory compliance management and conduct risk programs and controls for Wealth Canada business lines as appropriate:

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Contribute to Wealth Compliance process enhancements to increase efficiencies:

Keep abreast of emerging issues, trends, best practices and evolving regulatory requirements and assess potential impacts:

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Other projects as assigned

EXPERIENCE & EDUCATION
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Undergraduate degree:

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2+ years relevant experience:

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Regulatory, compliance, risk management experience and/or Canadian securities industry courses is highly desirable:

Ability to work independently and proactively:

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Detail-oriented, highly organized, and able to work in a dynamic environment:

Ability to make sound judgment:

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Proven ability to develop collaborative business relationships

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
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