AVP, Compliance, Wealth Canada Chief Compliance Officer TD Waterhouse Canada Inc.

Work Location:

Toronto, Ontario, Canada
Hours:

37.5
Line of Business:

Compliance
Pay Details:

$145,000 - $200,000 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:

Job Details:
Accountabilities adhere to the TD Compliance Department Mandate, follow the executive mandate for the role and are executed in accordance with key Compliance Program elements and processes established in the Global Compliance Operating Framework. These include:
Act as Chief Compliance Officer (CCO) and Designated Complaints Officer for TD Waterhouse Canada Inc. (TDWCI)
Assess the adequacy of, adherence to, and effectiveness of day-to-day Regulatory Compliance Management (RCM) controls in Global Wealth Canadian business lines, other than TD Asset Management and TD Wealth Private Investment Counsel, (the "in-scope businesses") based on independent monitoring and testing conducted and other data sources and indicators, using a risk-based approach.
Develop, lead and maintain the Global Wealth Compliance Program and conduct risk program for in-scope businesses to uphold 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.
As determined by Compliance Senior Executive Team (CSET), contribute to a TD Wealth Compliance Department Self-Assessment (CSA) annually to support the CCO Opinion which assesses effectiveness based on the degree of maturity in implementing, executing and evidencing each key element and process of the GCOF.
Assess the governance, procedures and reporting that support and facilitate the execution of the GCOF elements and processes and fulfillment of the TD Compliance Department's mandate
Oversee independent monitoring and testing of the Global Wealth business lines for in-scope businesses.
Maintain practices and procedures to communicate regulatory compliance requirements, standards and risks to manage regulatory risks.
Provide trusted independent and objective guidance to business lines on managing and identifying compliance risk.
Develop and maintain robust relationships between Senior Business Management across TD Wealth and Senior Compliance Leaders to facilitate strong relationship development and regular reporting.
Adhere to the policies, procedures, processes and deliverables of the Global Compliance Department.
Provide routine and regular reporting including actual or potential non-compliance including emerging trends and risks.
Maintain positive, honest, transparent and constructive relationships with regulators.
Share early indications of significant regulatory issues that could materially impact earnings or reputational risk with Business Segment leaders and the Ultimate Designated Person (UDP) of TDWCI in particular.
Review the effectiveness of the Global Wealth Compliance program at least annually.
Oversee the management of trade surveillance activities with respect to TDWCI.

Job Requirements:
Deep regulatory, industry and operational knowledge and proficiencies for TDWCI CCO role.
Ability to assess compliance risk to prioritize issues.
Strong Control/Risk Management mindset.
Leadership capabilities to drive and implement change; carry out TD's People Strategies to attract, retain, develop and engage a highly qualified team; and continue to evolve Compliance Program
Strong Leadership and People Management experience and skills
Expert communicator and relationship builder, with ability to work independently, think critically and make decisions
University degree required: Post Graduate degree preferred; Law degree (JD or LLB) preferred.
Relevant training and industry certifications, including CIRO designation and registration as Chief Compliance Officer (accreditations, proficiencies and course completions, e.g. Canadian Securities Course)
Regulatory experience and experience in compliance or risk management programs is highly-desirable, with preference for candidates who can demonstrate development of program elements and/or implementation of regulatory change management
Demonstrated excellence in business presentation skills including verbally, in writing, and in management report generation required
Experience in retail wealth management or securities compliance
Experience in Project Management discipline is considered an asset.
Strong sense of personal ownership for effectively bridge technical and non-technical disciplines and stakeholders, and track record of doing so
Familiarity with regulations and compliance strategies and risk management; possesses and demonstrates expertise in the advisory, policy, change management, project management and operations
Highest personal and professional integrity and standards to advance TD's vision and protect the brand
Strong verbal and written communication skills, including public speaking/presentation skills and well developed listening and negotiation skills at all levels
Advances TD's leadership development, colleague experience diversity agenda
Strong relationship building and negotiation skills and the ability to interact with sensitivity and leadership to advance and influence the culture Compliance aims to promote
Transparent communicator and respected TD representative, both internally and externally
Demonstrates ability delivering on objectives, focusing on what matters
Demonstrates strong problem solving analytical skills, including the ability to comprehend a situation by breaking it down into its components and identifying underlying issues
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 +5,000 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 Read more