Work Location:
Canada

Hours:
37.5

Line of Business:
Compliance

Pay Details:

We're committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay 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. 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).

• Coordinate and/or lead the annual M&T planning process and monitor its ongoing progress
• Develop and execute M&T activities in accordance with established Standards and Procedures to achieve completion within target timelines

• Conduct skilled analytical research and analysis as part of M&T engagements
• Work collaboratively with key partners throughout M&T engagements
• Present objective and independent opinion on the adequacy of RCM processes and controls in accordance with regulatory and internal requirements
• Proactively identify matters which require additional attention, further escalation, or review, and liaise with the appropriate groups to resolve

• Provide objective review and challenge to businesses on compliance issues, with a specific focus on validating that corrective measures to remediate issues have been appropriately executed
• Oversee and monitor the department's issue validation schedule, in coordination with internal Compliance teams and Risk Owner Governance and Control areas, to meet established timelines.

• Assist in the development and implementation of appropriate Compliance policies, processes and controls for continued alignment to the ERCMF, and associated Standards and Procedures
• Work with Compliance and business management and external business partners (e.g., Internal Audit, external consultants) to respond to regulatory requests, findings, audits and/or examinations
• Develop analysis and insights for reporting identified or emerging risks to senior management within Compliance, the business, applicable Boards, and regulators as required
• Assist to develop and/or present focused RCM training internally within the team and/or to Risk Owners

• Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and promote timely communication of issues/ points of interest
• Provide thought leadership and/ or industry knowledge for own area of expertise and participate in knowledge transfer within the team and business
• Keep current on emerging trends/ developments and grow knowledge of the business, related tools and techniques
• 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
• Lead, motivate and develop relationships with internal and external business partners / stakeholders to develop productive working relationships
• Contribute to a fair, positive and equitable environment that supports a diverse workforce

• Expert level professional role requiring in-depth knowledge/expertise in Compliance and working knowledge of broader related areas
• Strong critical thinking, organizational and problem-solving skills
• Has the ability to understand regulatory requirements and apply that knowledge to business-specific scenarios
• Strong interpersonal skills with the ability to interact at all levels of the Bank with superior organizational awareness
• Oversees and/or independently performs work from end to end, executing on more complex and/or non-standard requests
• Performs complex analysis and reporting
• Delivers on priorities under tight deadlines in in an evolving, sometimes ambiguous environment
• Excellent written and oral communication skills

• Undergraduate degree or equivalent work experience (5+ years)
• Experience in Internal Audit, Compliance or AML
• Experience conducting Monitoring and/or Testing preferred
• Knowledge of Canadian Banking products, policies & processes is preferred