Job Description
Location
Toronto, ON
Benefits
Pulled from the full job description
Paid time off
Full job description
Work Location:
Toronto, Ontario, Canada
Hours:
37.5
Line of Business:
Compliance
Pay Details:
$91,200 - $136,800 CAD
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:
Department Overview
The TD Securities Inc. (TDSI) Compliance Department is responsible for the compliance strategy and oversight programs, including designing and implementing monitoring and supervisory programs for the firm. This is accomplished by:
Conducting monitoring and surveillance
Providing training and education
Liaising with regulators
Promoting a compliance culture within the firm
Taking preventative measures to ensure compliance with the rules and regulations
Reviewing new business opportunities, such as new products or markets from a compliance perspective
Job Description
TD Bank Global Compliance has enhanced its Regulatory Compliance Management (RCM) Framework and is implementing new and/or enhancements to existing programs to support a strong risk culture and comprehensive approach to managing regulatory compliance risk. The Manager, Compliance Business Oversight position is a newly created role on the Core Compliance team to oversee and manage the implementation of key programs that support RCM and assist with the integration of the newly acquired businesses and expansion of the Core Compliance program. This position will report to the AVP, Compliance Advisory.
Primary Responsibilities
Support the RCM program implementation for TDS Canada Compliance in accordance with the enterprise RCM framework
Provide ongoing maintenance and support of TDS Canada Compliance framework
Support the expansion of Core Compliance programs
Oversee the team's issues management program including validation
Implement and oversee issues management program and appropriate tracking/reporting of issues
Develop and deliver engaging compliance training to relevant employees.
Support the development of CAD policies and procedures for Core Compliance functions and liaise with the global policies team on behalf of Canada.
Assist with trade desk reviews in accordance with TDS Compliance mandate.
Participate in enterprise-wide special projects.
Cross train across with the Advisory team to ensure team coverage.
Job Requirements
Proficiency requirements and skills
University degree or relevant experience.
Minimum 5+ or more years securities compliance or related securities experience required.
Strong knowledge of CIRO, MX, OSC and other related Laws, Rules and Regulations applicable to the Canadian securities marketplace.
Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations, and the ability to learn new areas while supporting them.
Excellent interpersonal, organizational, leadership and communication (oral and written) skills.
Client service skills – the candidate must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory interactions.
Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issues.
Project management skills and ability to manage multiple work streams involving different partners and groups.
Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills, along with the ability to handle multiple assignments at the same time.
Ability to interact effectively with all levels of the organization and to work collaboratively on teams of varying size.
A relationship builder with the ability to establish, develop and maintain effective working relationships with regulators and with business and functional partners at the firm.
Proficient in MS Office
Other Qualifications/Skills/Experience
Ability to understand, analyze, interpret and apply such regulation in an operational context in an environment that is ever changing and has competing priorities
Ability to manage and prioritize multiple projects, many with tight deadlines
Ability to work independently and as part of a team yet understand when matters need to be escalated to senior management
Ability to deal with staff and management at all levels in TD Securities and TDBG
Ability to think critically and make 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 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):
Sans Objet
Toronto, ON
Benefits
Pulled from the full job description
Paid time off
Full job description
Work Location:
Toronto, Ontario, Canada
Hours:
37.5
Line of Business:
Compliance
Pay Details:
$91,200 - $136,800 CAD
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:
Department Overview
The TD Securities Inc. (TDSI) Compliance Department is responsible for the compliance strategy and oversight programs, including designing and implementing monitoring and supervisory programs for the firm. This is accomplished by:
Conducting monitoring and surveillance
Providing training and education
Liaising with regulators
Promoting a compliance culture within the firm
Taking preventative measures to ensure compliance with the rules and regulations
Reviewing new business opportunities, such as new products or markets from a compliance perspective
Job Description
TD Bank Global Compliance has enhanced its Regulatory Compliance Management (RCM) Framework and is implementing new and/or enhancements to existing programs to support a strong risk culture and comprehensive approach to managing regulatory compliance risk. The Manager, Compliance Business Oversight position is a newly created role on the Core Compliance team to oversee and manage the implementation of key programs that support RCM and assist with the integration of the newly acquired businesses and expansion of the Core Compliance program. This position will report to the AVP, Compliance Advisory.
Primary Responsibilities
Support the RCM program implementation for TDS Canada Compliance in accordance with the enterprise RCM framework
Provide ongoing maintenance and support of TDS Canada Compliance framework
Support the expansion of Core Compliance programs
Oversee the team's issues management program including validation
Implement and oversee issues management program and appropriate tracking/reporting of issues
Develop and deliver engaging compliance training to relevant employees.
Support the development of CAD policies and procedures for Core Compliance functions and liaise with the global policies team on behalf of Canada.
Assist with trade desk reviews in accordance with TDS Compliance mandate.
Participate in enterprise-wide special projects.
Cross train across with the Advisory team to ensure team coverage.
Job Requirements
Proficiency requirements and skills
University degree or relevant experience.
Minimum 5+ or more years securities compliance or related securities experience required.
Strong knowledge of CIRO, MX, OSC and other related Laws, Rules and Regulations applicable to the Canadian securities marketplace.
Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations, and the ability to learn new areas while supporting them.
Excellent interpersonal, organizational, leadership and communication (oral and written) skills.
Client service skills – the candidate must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory interactions.
Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issues.
Project management skills and ability to manage multiple work streams involving different partners and groups.
Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills, along with the ability to handle multiple assignments at the same time.
Ability to interact effectively with all levels of the organization and to work collaboratively on teams of varying size.
A relationship builder with the ability to establish, develop and maintain effective working relationships with regulators and with business and functional partners at the firm.
Proficient in MS Office
Other Qualifications/Skills/Experience
Ability to understand, analyze, interpret and apply such regulation in an operational context in an environment that is ever changing and has competing priorities
Ability to manage and prioritize multiple projects, many with tight deadlines
Ability to work independently and as part of a team yet understand when matters need to be escalated to senior management
Ability to deal with staff and management at all levels in TD Securities and TDBG
Ability to think critically and make 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 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):
Sans Objet
💡 Quick Summary
Seeking a career-building opportunity? The Manager, Compliance Business Oversight – Core Compliance (3628) position is now open for candidates interested in the Bank Jobs sector. This role in Toronto offers a professional environment and growth potential.
Requirement Snapshot: Candidates should possess basic communication skills, a proactive attitude, and the ability to work in a team. Experience in Bank Jobs is a plus.
