Overview
Senior Manager, Business Compliance Oversight – TD Asset Management Jobs in Toronto, Canada at The Toronto-Dominion Bank (Canada)
Position: Senior Manager, Business Compliance Oversight – TD Asset Management (5136)
Description
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Department Overview
TD Wealth Compliance is part of TD Compliance Department, a second line oversight function. It provides regulatory compliance oversight over multiple TD Wealth lines of business. TD Wealth Compliance has an immediate need for a Senior Manager, Business Compliance Oversight to provide compliance advisory and second line oversight of TD Asset Management (TDAM) activities in Canada and international jurisdictions with a focus on Regulatory Compliance Management (RCM), Regulatory Change Program and regulatory reviews.
Job Details
Reporting to Chief Compliance Officer, TD Asset Management Inc. & AVP, Wealth Compliance, the Senior Manager, Business Compliance Oversight provides compliance advisory and second line oversight of TDAM with a focus on Regulatory Compliance Management (RCM) program and Regulatory Change Program. This role will engage with various stakeholders and advise on delivering effective compliance with changing laws and regulations to help ensure strong compliance controls and processes to mitigate regulatory compliance risks.
The Senior Manager accountabilities will include, but not limited to:
Lead the compliance review of applicable regulatory change and lead compliance advocacy efforts related to new and changing laws and regulations that impact TD Asset Management Inc.
– Act as subject matter expertise on applicable regulatory change, emerging regulatory risks, trends, best practices, industry or market developments to ensure that anticipated regulatory changes are considered in business activities, strategic plans, policies and processes, and reporting
Lead execution of TDAM international regulatory change management program in accordance with TD RCM Program requirements, including end to end regulatory change management with international local compliance advisory, control partners and business stakeholders
Lead and execute RCM activities as assigned, which may include but not limited to risk assessment, review and challenge of regulatory inventory & controls, monitoring and testing, training, regulatory relationship management
Where assigned, act as the Compliance lead, working with the business and 1B, in response to assigned regulatory examination, investigations, inquiries, questionnaires, field reviews, internal and external audits, and client complaints.
Assist CCO in meeting various reporting requirements, both internally within compliance as well as to the businesses and regulators
Assess, review and challenge, recommend, develop, draft and/or implement policies, procedures, compliance manuals, processes, controls and/or actions to address regulatory requirements, initiatives, issues
Lead or participate in internal, industry or regulatory committees or working groups to represent Wealth Compliance, as assigned, on compliance and policy matters
Provide compliance advisory on TDAM activities, including business initiatives, compliance or regulatory matters, regulatory change, regulatory and other audits, issues resolution and/or other assigned projects
Collaborate with stakeholders to gather and assess requirements; consider alignment cross platform or functions; identify, assess and address risks, issues and escalations; and provide compliance advice that aligns with Compliance strategy and objectives and regulatory requirements
Ensure effective and customized compliance oversight program for TDAM to detect and mitigate regulatory violations and breaches of internal policies and procedures relating to applicable regulatory requirements, using a risk based approach, aligned with RCM requirements
Provide compliance guidance, challenge and oversight for business projects and initiatives
Perform periodic or targeted monitoring activities
Keep abreast of emerging issues, trends, best practices and evolving regulatory requirements and assess potential impacts
May lead, coach and/or manage a high performing team on delivery of Compliance programs or assigned matters
Experience & Education
Undergraduate degree
Canadian securities industry courses
10+ years relevant Asset Management experience. Regulatory, compliance, legal or risk management experience is highly desirable
Significant expertise in PM, EMD, IFM, institutional clients in Canada. International experience desired.
Strong influence skills, with the ability to work collaboratively across multiple management teams
Proven ability to develop collaborative business relationships
Ability to work independently and proactively, with support of the AVP on key issues
Demonstrated excellence in business presentation skills including verbally, in writing and in management reporting
Detail-oriented, highly organized, and able to work in a dynamic environment
Ability to make sound business decisions
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 strive to make every interaction, product, and experience remarkably human and…
Title: Senior Manager, Business Compliance Oversight – TD Asset Management
Company: The Toronto-Dominion Bank (Canada)
Location: Toronto, Canada
Category:
