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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 Innovation, Technology, and Shared Services & Insurance Compliance the Shared Services Compliance team provides day-to-day support to various Business Units (BU) in Canada including the North American Contact Centre, Customer Assistance, ATM, and Financial Crimes & Fraud Management Group. As a second line of defense, Compliance is responsible for the independent oversight of compliance risk across TD globally; driving a consistent, adaptable and effective culture across the organization; and assessing the adequacy of, adherence to and effectiveness of TD's day-to-day Regulatory Compliance Management (RCM).
The Innovation, Technology, and Shared Services (ITSS) Compliance team is hiring a Senior Compliance Officer to support Business Units (BU), which includes North American Contact Centres, Customer Assistance, ATM, and Financial Crimes & Fraud Management Group and other shared services innovation initiatives. Reporting to the Senior Manager, ITSS Compliance, the successful candidate will :
Assist with execution of the Compliance program and support for the BU.
Ensure the BU is aware of the legislation, regulatory requirements and associated controls to manage its regulatory risk.
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.
Track regulatory issues and review the BU's remediation plans for effectiveness and timely implementation.
Report on existing and emerging regulatory compliance issues and risks to Compliance and BU management/executives.
Assist with response to regulatory inquiries, examinations and investigations as applicable.
Represent Compliance in projects that have a regulatory compliance component and/or carry have regulatory risk exposure.
Provide objective guidance to the BU, driving regulatory/compliance requirements while helping manage regulatory risk through independent challenge of day to day processes and initiatives
Monitor new and proposed regulatory changes and assess impacts to the BU, as well as performing management of the regulatory library as required.
Develop specialized training material on new regulations, regulatory changes or trends for BU areas as required.
Assist with drafting of key Compliance documents including mandates, policies and associated procedures as required, ensuring appropriate coordination with stakeholders.
Develop subject matter related to innovation in online and mobile banking, payments and money movement.
Lead special projects related to Process Simplification on an ad-hoc basis
Contact Centre, Customer Assistance, ATM, and Financial Crimes & Fraud Management Group experience is an asset
Knowledge of relevant Canadian legislation and regulations, including banking, wealth management and insurance.
Experience in reviewing and assessing regulatory requirements
Ability to understand and desire to learn about innovative solutions
Ability to work independently, think critically and make decisions
Ability to manage high volumes of work in a fast paced environment while managing multiple priorities
Ability to influence people and deal with conflicting points of view and to effect creative and responsive solutions
Ability to deal with all levels of staff within the Enterprise
Strong verbal and written communication skills
Previous experience in Compliance, Operational Risk Management, Legal or Audit is an asset.
Well-developed organizational awareness and business acumen
Strong relationship management skills
Able to work both independently and as part of a team
P roficient with Microsoft Office applications
Undergraduate degree, equivalent post-secondary education or relevant industry or risk and compliance experience and/or accreditation is preferred
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.
Internal Number: 6282908
About TD Bank Group
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