Senior Compliance Officer (2267)

Wellington, England, United Kingdom

12/18/2024

Work Location:

Toronto, Ontario, Canada

Hours

37.5

Line Of Business

Compliance

Pay Details

$76,800 - $115,200 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

Team overview

Canadian Banking Compliance (CBC) is responsible for overseeing Regulatory Compliance in accordance with the Enterprise Regulatory Compliance Management Framework (ERCMF). We provide ongoing regulatory support for TD Bank Group's lines of business as mandated under the primary governing regulatory body, the Financial Consumer Agency of Canada (FCAC).

Key Accountabilities

• Develop in-depth knowledge of regulations pertaining to Money-in business, have a detailed knowledge of processes/upcoming projects and initiatives for that business area; and have a deep knowledge of regulations mapped to the business area
• Build solid relationships with all stakeholders
• Assist in the development and implementation of appropriate Compliance and Business policies, processes and controls
• Facilitate the periodic Compliance risk and self-assessment activities for designated business using TD’s ERCMF
• Monitor that assessments (monitoring, risk assessment etc.) are completed and communicated in a continuous and timely fashion
• Guide and complement the assigned portfolio in terms of financial, regulatory and risk management requirements. Analyze Compliance requirements and establish they are properly written into requirements for business projects and approved at the appropriate levels
• Interact with control functions within the organization
• Develop analysis and insights, prepare and deliver management reporting necessary to promote accurate and thorough measurement of the risk factors present in various products
• Work with business management, and with internal and external business partners (e.g., Internal Audit, external consultants) to respond to regulatory requests, findings, audits and/or examinations
• Keep abreast of emerging issues, trends, and evolving regulatory requirements in the Compliance industry and assess potential impacts
• Coordinate with other Compliance partners and business governance and control partners to promote consistency in the application of Compliance programs and standards across the enterprise
• Support in determining risk exposure, mitigation, and controls for new products, marketing campaigns, and expansion of existing programs
• Support the business lines with compliance/risk controls and periodically evaluates risk mitigation efforts to make adjustments as risk/department influences change
• Protect the interests of the organization – identify and manage risks, and promote the prompt and thorough resolution of escalated non-standard, high-risk issues
  
  

Job Requirements/Skills

• Superior organizational skills
• Excellent written and oral communication skills
• Strong interpersonal skills with the ability to effectively interact and communicate at all levels of the organization
• Advanced MS Office skills preferred
• Ability to operate in an evolving, sometimes ambiguous environment
• Ability to understand regulatory requirements
• Ability to work in a fast-paced environment, delivering on priorities under tight deadlines
• Strong critical thinking and problem-solving skills
  
  

Experience & Education

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

TEAM CULTURE

• Participate fully as a member of the team, support a positive work environment that promotes quality, innovation and teamwork and timely communication
• Participate in personal performance management and development activities, including cross training within own team
• Keep others informed and up-to-date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities
• Contribute to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices
• Develop relationships with internal and external business partners / stakeholders to develop productive working relationships
  
  

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 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. 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

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