Compliance Governance & Operations Manager

Work Location:

Hours:

Line of Business:

Pay Details:

We’re committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.

Job Description:

Corporate Profile

TD Securities

With more than 3,500 people in 13 offices around the world, TD Securities provides a wide range of capital market products and services to corporate, government and institutional clients who choose us for our knowledge, innovation and experience in the following key areas of finance:

·Investment and Corporate Banking

·Capital Markets

·Interest Rate, Currency and Derivative Products

·Commodities

Our services include the underwriting and distribution of new debt and equity issues, providing advice on strategic acquisitions and divestitures, and executing daily trading and investment needs.  With our history of delivering results, we’ve developed considerable strengths, including recognized trading expertise and street-level market intelligence that we use to consistently create value for our clients.

Department Overview:

The mandate of the TD Compliance Department is to manage compliance risk across TD globally to align with the policies established and approved by the TD Board of Directors’ Audit and Risk Committees. It is the Compliance Department’s responsibility, as proactive and trusted advisors to Businesses, to drive a consistent, adaptable and effective culture across the organization so that compliance risks are appropriately mitigated.  Compliance Department responsibilities generally are to advise, monitor, and escalate.

Position Overview

Job Description / Accountabilities:

The Compliance Governance & Operations Manager  is an integral part of the TDS UK Compliance department.  This individual will be responsible for core activities including Monitoring & Testing, Regulatory filings, participating in local and global initiatives and other core compliance tasks as needed.   

Responsibilities include, but are not limited to:

·Participate in the compliance risk assessment exercise.

·Assist with developing the annual monitoring & testing plan;

·Determine scope of reviews; build detailed review steps; organize documentary evidence of review; 

·Execute tests and write summary report to document exceptions and action plans;

·Communicate deficiencies to the business.

·Oversee remediation of gaps identified in the testing process;

·Assist on ad-hoc Compliance projects and initiatives;

·Build relationships with key stakeholders locally and globally.

Qualifications / Skills / Experience

·Minimum of 3-5 years of demonstrated relevant experience in the industry. 

·Knowledgeable of regulations and industry best practices;

·Have the ability to conduct regulatory research.

·Understanding of internal controls framework.

·Testing the design and effectiveness of business controls.

·Understanding of regulatory rules. 

·Problem solving skills and the ability to work independently.

·Prioritizing to manage tasks efficiently and timely

·Strong oral and written communication skills.

·Ability to build and maintain professional relationships with internal and external parties.

·Audit or Controls experience a plus

·Regulatory experience a plus.

Shared Commitments

Executives promote adherence to TDBG’s vision and purpose to be the better bank, and enrich the lives of customers, communities and colleagues.  As part of the general management of their function, Executives are accountable to deliver against TD's five shared commitments:

• Think like a customer; provide legendary experiences and trusted advice
• Act like an owner; lead with integrity to drive business results and contribute to communities
• Execute with speed and impact; only take risks we can understand and manage
• Innovate with purpose; simplify the way we work
• Develop our colleagues; embrace diversity and respect one another

Inclusiveness

At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live and serve. If you require an accommodation for the recruitment/interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs

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 investment we make in our colleagues to help them, and their families achieve their well-being goals. Total Rewards at TD includes a base salary and several other key plans such as health and well-being benefits, including medical coverage, paid time off, career development, and reward and recognition programs.

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 
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 

If you require an accommodation for the recruitment / interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.