Compliance Governance & Operations Manager (4053)

Work Location:

Toronto, Ontario, Canada

Hours:

37.5

Line of Business:

Compliance

Pay Details:

$76,800 - $115,200 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 program, including implementation of supervisory and monitoring framework in relation to the firm's Personal Account Dealings Program, Global Control Room.  This is accomplished by:

• Conducting monitoring and surveillance

• Providing training and education

• Promoting a compliance culture within the firm

• Taking preventative measures to ensure compliance with internal policy, industry rules and regulations.

Job Description

The Compliance Governance & Operations Manager will support TDSI's Global Personal Account Dealings Program, and will report to the Senior Manager, Global Control Room.

Primary responsibilities are:

• Ensure effectiveness of the program by administering the governance framework, including risk assessment, quality assurance  controls and adequate documentation.

• Provide oversight on data governance and prepare analysis and reporting.

• Work with surveillance platform vendor to perform internal testing on surveillance rules to ensure alerts are being flagged effectively.

• Design and perform quality assurance review to ensure effectiveness of operational controls.

• Collaborate with Technology and Risk Management to ensure technology and business practices remain compliant with Firm policies and industry regulation.

• Assist in periodic audits and regulatory exams.

• Provide oversight support to the team's daily operations, as required.

• Periodically design and provide training for business units under coverage of the program.

• Monitor regulatory developments and trends, and assist on impact assessment as needed.

• Lead special projects as assigned.

Job Requirements

Proficiency requirements and skills:      

• Knowledge of applicable securities industry regulations.

• Knowledge of market structures and operations and the associated regulatory issues.

• Extensive knowledge of investment banking activities and in-depth product knowledge a plus.

• Ability to take ownership and lead ad-hoc projects from beginning to end, supported by clear documentation.

• Ability to think critically, document clear analysis, make decisions on reasonable basis and, know when to escalate to GCR Management.

• Excellent verbal and written communications skills

• Strong people management experience, and ability to deal with staff and management at all levels.

• Strong personal integrity in dealing with confidential and sensitive information.

Other Qualifications/Skills/Experience: 

• Experienced in working with large volume of data, conduct analysis supported and documenting.

• Ability to lead, manage and prioritize multiple projects, with tight deadlines.

• Ability to understand, analyze, interpret and apply regulation in an operational context in an environment that is ever changing and has competing priorities.

• Ability to assess risk and articulate action plans to mitigate the risks and present it to senior management.

Education and Accreditation

• University degree

• Minimum 8 years of compliance experience in the securities industry, preferably in Personal Account Dealings and/or Control Room Compliance, capital markets business supervision, compliance testing, audit, trade surveillance.

• Successful completion of relevant Canadian Securities Institute and/or US FINRA courses is preferred.

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