Job Description

TD Description

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Department Overview

The Global Compliance Department is responsible for overseeing Regulatory Compliance across TDBG in accordance with the Global Compliance Department Mandate, in execution of the Global Compliance Operating Framework (GCOF). This includes independently assessing the adequacy of, adherence to, and effectiveness of regulatory compliance management programs and controls in the business; delivering objective guidance and independent challenge to the business; proactively managing regulatory change; and providing trusted and reliable reporting, advice and opinion to senior leadership and the Board on the state of regulatory compliance risks, controls and outcomes.

As part of the larger Compliance Department, the Transformation, Enablement, & Customer Experience and Platforms (TECE-P) Compliance group provides day-to-day Compliance support to various business lines including North American Contact Centres, Customer Assistance, ATM, North American Fraud Operations, Digital Strategy, Enterprise Payments, and Global Marketing. TECE-P Compliance also support various programs for innovation initiatives such as TD Lab, Innovation Risk Management Framework Proof of Concepts and the FinTech investment strategy, as well as, the team is expanding to enhance our support model for platforms established through the Next Evolution of Work (NEW).

Job Requirements

• Knowledge of relevant Canadian legislation, regulations and industry standards, as it applies to Privacy, banking, payments, wealth management and insurance
• Experience in reviewing and assessing regulatory requirements
• Ability to work independently, think critically and make decisions
• Ability to manage high volumes of work in a fast-paced environment and manage multiple priorities
• Highly organized and flexible in prioritizing various work demands
• Able to work collaborative and as part of a team
• Ability to influence people and deal with conflicting points of view
• Strong verbal and written communication skills
• Well-developed organizational awareness and business acumen
• Strong relationship management skills
• Ability to think "out of the box" to effect creative and responsive solutions
• Professional experience in a Contact Centres, ATM, Customer Assistance, North American Fraud Operations, Innovation, or related field
• Professional experience in a governance related field (e.g. Compliance, Risk Management, AML, Legal, Audit)

#LI-Hybrid

Hours

37.5



Reporting to the Senior Manager, TECE-P Compliance, the primary responsibility of the Senior Compliance Business Oversight Analyst, is to support the development and enhancement of both the first and second line of defence programs for the business units we support, with a focus on Global Compliance Program initiatives including the Enterprise Governance Risk and Control (EGRC) Program, Conduct Risk Framework, Compliance Governance and Assurance Policy reviews, Compliance Risk Assessment Methodology, Regulatory Issue Management and various initiatives. This role may support several business lines within TECE.
This is an exciting opportunity for individuals with expertise in the field of governance, risk and controls. Specific accountabilities include the following:

• Perform a leadership role in the ongoing evolution and execution of the Compliance program which includes developing and aligning engagement and interaction models within Compliance, as well as first and second line control partners
• Lead development of resource materials for Compliance Unit (CU) Executive and Senior Management support and implementation of enterprise initiatives.
• Conduct research and develop subject matter expertise related to innovation, top and emerging risks, regulatory trends and industry best practices.
• Provide CU leadership and representation on strategic risk governance committees.
• Perform a leadership role as a TECE-P Compliance relationship manager with the Centre(s) of Excellence (including Canadian Privacy, FATCA and CRS, Enterprise Conduct Risk Management, Compliance Governance and Assurance programs).
• Act as a subject matter expert and provide objective guidance, challenge and support on regulatory compliance related matters.
• Establish strong relationships with BU and corporate partners acting as a primary Compliance contact.
• Compliance oversight of multiple projects at a given time demonstrating superior prioritization and multitasking skills; perform other forms of pre-review/approval (e.g. Proof of Concept).
• Report on existing and emerging regulatory compliance issues and risks to Compliance and BU management/executives.

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.

Additional Information

• Undergraduate degree
• Relevant professional designations and/or certifications as required
• 7+ years relevant experience

Business Line

Corporate

Job Category - Primary

Anti-Money Laundering / Compliance & Regulatory Relations

Job Category(s)

Anti-Money Laundering / Compliance & Regulatory Relations

Job Family

Compliance Business Oversight

Time Type

Full Time

Employment Type

Regular