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director, audit and compliance
Title posted on CareerBeacon - Senior Manager, Business Compliance Oversight
Posted on November 06, 2024 by Employer details TD Bank
Job details
Work Location:Toronto, Ontario, CanadaHours:37.5Line of Business:CompliancePay Details:N/A - N/A CADTD 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 OverviewThe TD Wealth Compliance Department provides compliance advisory and second line oversight of TD Wealth businesses, including: TD Waterhouse Canada Inc. (an CIRO registrant that includes Private Investment Advice, Financial Planning, and Direct Investing), Private Investment Counsel (an OSC registrant), TD Asset Management (an OSC registrant), TD Wealth Insurance Services, Private Trust, and Private Banking.The Associate Vice President, TD Asset Management Compliance Inc. (TDAM) and their team collaborate and support the TDAM Chief Compliance Officer and Wealth businesses in various Compliance areas. Assess the adequacy of, adherence to, and effectiveness of day-to-day Regulatory Compliance Management (RCM) controls with focus on the management controls and processes in TDAM, based on independent monitoring and testing conducted, active participation on numerous business and control committees and working groups and other data source sand indicators, using a risk-based approach. Given the range of businesses supported, and the breadth of applicable regulations, the day-to-day work of the group is both interesting and complex, requiring compliance and wealth management subject matter expertise.Job DetailsReporting to the AVP, TDAM Compliance, the Senior Manager will adhere to the TD Compliance Department Mandate, and execute in accordance with key Compliance Program elements and processes established in the Global Compliance Operating Framework (GCOF). This role will engage with various stakeholders and advise on delivering effective compliance with changing laws and regulations to help ensure strong compliance controls and processes to mitigate regulatory compliance risks.The Senior Manager accountabilities will include, but not be limited to:Contribute in the maintaining the TDAM Compliance Programs and conduct risk program ("the Program") to assist the business in upholding a strong culture of compliance and provide independent oversight of the management of compliance with applicable laws, regulations and guidelines using a risk-based approach.Develop and maintain strong knowledge of the applicable regulatory and internal requirements, in particular NI 81-102, NI81-105, NI 81-107, NI 31-103, and associated guidanceSupport the RCM program, monitoring and testing of the TDAM business lines.Act as a Wealth Compliance representative on TD Wealth regulatory change projects, provide appropriate regulatory guidance related to implementation of changes, and ensure regulatory compliance risks are identified and escalatedAct as subject matter expertise on applicable regulatory change, emerging regulatory risks, trends, best practices, industry or market developments to ensure that anticipated regulatory changes are considered in business activities, strategic plans, policies and processes, and reportingDraft and update TD Wealth Compliance key documents including policies and procedures, compliance manuals and senior management reporting related to assigned regulatory change and ongoing matters.Participate or lead as a member of the management team in training or presentations on key initiatives.Lead c- LocationToronto, ON
- Workplace information On site
- SalaryNot available
- Terms of employment Permanent employmentFull time
- Starts as soon as possible
- vacancies 1 vacancy
- Source CareerBeacon #2106458
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