Manager – Compliance Monitoring & Testing

Work Location:

Toronto, Ontario, Canada

Hours:

37.5

Line of Business:

Compliance

Pay Details:

$96,900 - $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
• Implementing Policies and Procedures designed to achieve compliance with applicable laws and regulations
• Licensing and registration requirements
• Reviewing new business opportunities, such as new products or markets from a compliance perspective

Position Summary

Manager, Compliance Monitoring & Testing is a newly created role on the Core Compliance team to manage the implementation of Monitoring and Testing program, a key program supporting TD's Regulatory Compliance Management (RCM) Framework.

Responsibilities

• Lead the development, execution, and oversight of an effective Compliance Monitoring and Testing program.
• Work with the relevant businesses and functions to obtain information /documentation to carry out relevant compliance testing.
• Communicate extensively (orally and in writing) with the relevant businesses and functions regarding deficiencies and required remedial actions related to compliance testing.
• Analyze and summarize information/documentation responsive to compliance testing. Identify mitigating facts and circumstances (as applicable) to rebut issues identified during testing or other engagements.
• Prepare substantive written responses on the outcome of compliance testing and required remediation.
• Work closely with other regional Monitoring & Testing leads of TDS Compliance on any emerging risk issues or common theme where there is need for collaboration.
• Develop and deliver engaging compliance training to relevant employees.
• Escalate any significant issues to Compliance management on a timely basis.
• Provide strategic advice and regular updates to management regarding the matters being handled, including, but not limited to, the timely escalation and resolution of potential issues.
• Support the development of CAD policies and procedures for Core Compliance functions and liaise with the global policies team on behalf of Canada.
• Assist in the ongoing development of core compliance processes.
• Assist with trade desk reviews in accordance with TDS Compliance mandate.
• Participate in enterprise-wide special projects.
• Cross train across the Advisory team to ensure team coverage.

Proficiency requirements and skills

• University degree required.
• 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 strive to make every interaction, product, and experience remarkably human and refreshingly simple for 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 foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities.

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.

If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.  

We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.

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