Job Description:

Department Overview

The 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, Wealth Compliance and their team collaborate and support TD Wealth Chief Compliance Officers and Wealth businesses in certain Compliance areas, including Regulatory Compliance Management (RCM) Program Management, Regulatory Change Management, Reporting, Innovation, Training and other projects. A multi-disciplinary team of compliance professionals supports these activities. 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 Details

Reporting to the Senior Manager, Reporting, Data and Technology Enablement, the Analyst will lead in development and maintenance of various management reports, research and maintenance of knowledge management systems (e.g. data repositories, document types, document version control, template design, regular review and sign-off), and data strategy and innovation projects. They may at times also lend support to the broader Compliance program initiatives. Working with team members across Wealth Compliance and a broad array of stakeholders and senior leaders in Compliance, Governance & Control, Legal and business units, the Analyst will execute on a vision of a dynamic and value-added Compliance program, consistent with TD Enterprise Regulatory Compliance Management Framework and relevant compliance requirements, to detect and mitigate regulatory violations and breaches of internal policies and procedures relating to regulatory requirements, using a risk based approach, as assigned.

The Analyst accountabilities will include, but not be limited to:

• Lead and/or support Wealth Compliance's initiatives or action plans

• Support Wealth Compliance business management activities such as resource planning and events

• Support the use of Wealth Compliance tools, training delivery, policy updates

• Provide a range of support, guidance, reporting and analysis to businesses /internal team members on Compliance/ Center of Excellence issues and related program risks and issues

• Assist with the completion of reporting activities and maintain a workback schedule

• Designing templates for policies, procedures, presentation decks, management and board reporting and other standard work products for use by the Compliance team.

• Maintain certain Wealth Compliance presentation, organizational chart, reporting, user guides, intranet or SharePoint sites

• Help design a system of accountability for key documents, including an inventory of materials with owners for each and a regular update schedule

• Acting as Wealth Compliance Data Delegate as required, and working with the Lead Data Steward where applicable, to ensure that Wealth Compliance meets its data related standards and requirements

• Support Wealth Compliance's growth and maintenance of innovation and transformation agenda and portfolio, in conjunction with the Compliance leadership team.

• Support creation of and contribute to executive briefing materials, as required

• Assist with audits or other program reviews as required.

• Build and manage relationships with senor stakeholders across the organization to deliver on strategic commitments.

• Gain substantive knowledge of Wealth business units, compliance policies and regulatory requirements to add value to the design and drafting of key documents.

• Foster the development of a compliance culture across the business.

• Contribute to the overall direction of TDBG Compliance by ensuring alignment with corporate philosophy and strategic direction while protecting the reputation of the Bank.

• Special projects

EXPERIENCE & EDUCATION

• Exceptional written and presentation skills, including the ability to work unsupervised and create a high-quality written work product, setting a standard for professional writing, grammar and style for the Wealth Compliance program.

• Ability to elicit requirements from business perspective, synthesize the information, and articulate those requirements in a manner that can be easily understood.

• Strong skills in Microsoft Office suite and desktop software applications. Understanding with Tableau and other report generation and presentation software will be an asset.

• Excellent verbal and written communication skills, self-motivated with the ability to learn and adapt quickly, and ability to manage deadlines and adapt well to changing priorities.

• Detail-oriented, highly organized, and able to work in a dynamic environment. Demonstrated ability to make sound business decisions and to achieve goals while meeting a standard of excellence.

• Ability to articulate critical issues for escalation and decisions while maintaining ownership of deliverables.

• Ability to deal with conflicting points of view and to effect creative and responsive solutions.

• Ability to work successfully as a member of a team and independently

• Ability to analyze, organize and prioritize work while meeting multiple deadlines

OTHER REQUIREMENTS

• University or College degree and minimum three years of relevant business, Compliance, Legal or risk management experience in Wealth Management or Securities Compliance is considered an asset.

• Highly strategic, innovative thinker with ability to see the bigger picture.

• Demonstrated excellence in business presentation skills including verbally, in writing, and in management report generation required.

• Experience in Project Management discipline and Risk Management is considered an asset.

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