Manager, Compliance Testing Global QAR (5538)

Work Location:

Toronto, Ontario, Canada

Hours:

37.5

Line of Business:

Compliance

Pay Details:

$96,900 - $136,800 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 Description Summary

Lead and develop team(s) responsible for planning and overseeing independent Compliance testing. Responsible for leading all phases of the assigned testing engagement. Provide guidance, leadership, coaching, and development to achieve desired operational results and professional/personal development objectives for their team.

Job Description

KEY ACCOUNTABILITIES

CUSTOMER

• Manage teams of Compliance Testing analysts/ specialists in the execution of Compliance Testing engagements and validation of action plans in accordance with established standards

• Conduct skilled analytical research and analysis as part of testing engagement and initiatives

• Understand risk identification, risk analysis, and risk mitigation according to regulatory requirements and best business practices

• Develop strong relationships and work collaboratively with key partners and client

• Oversee/lead the testing engagement, including communications and the reporting processes 

• Provide subject matter expertise and/or input to projects/initiatives as a representative for area of specialization

• Proactively identify matters which require additional attention, further escalation or review, and liaise with the appropriate staff to resolve

SHAREHOLDER

• Contribute to the development of the operational plan and operationalize the plan and deliver on assigned service or functionality

• Effectively lead a team of Compliance Specialists to deliver quality results and meet assigned timelines

• Monitor and communicate the effectiveness of strategies, programs, and practices related to own area of expertise

• Align the team to internal policies/procedures, enterprise frameworks and methodologies and applicable regulatory guidelines

• Protect the interests of the organization – identify and manage risks, and escalate non-standard, high-risk transactions/activities as necessary

• Contribute to the review of internal processes and activities and provide subject matter expertise to assist in identifying potential opportunities to improve operational efficiencies for area of responsibility

• Actively manage relationships and work closely with management to provide guidance, expertise direction on compliance requirements to drive consistent compliant outcomes

• Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts to the Bank

• Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite

EMPLOYEE / TEAM

• Responsible for management of the overall team providing both leadership and guidance

• Set targets and objectives for the team, and deliver results

• Grow team expertise to align with business/enterprise demand and direction; assess team skills and capabilities and continually look for ways to provide and enhance the value delivered

• Lead a high performing team; provide on-going feedback and performance reviews, coach and develop employees and ensure performance management activities are undertaken and completed for all employees

• Lead the process of setting performance objectives for the team; track, monitor and effectively address and/or reward performance in a timely manner

• Manage employees in compliance with all human resources policies, procedures and guidelines of conduct

• Share knowledge, information, skills, and subject matter expertise among the team and ensure the timely communication of issues and encourage good working relationships with other functions and teams

• Support an environment where team freely escalates business challenges; facilitate change through positive reinforcement of milestones and successes

• Recruit for all hires to ensure a highly diverse, qualified workforce to achieve business objectives

• Establish and foster a cohesive team; promote a fair and equitable environment that supports a diverse workforce and encourage the team to achieve common goals and objectives

• Act as a brand ambassador for your business area/function and the bank, both internally and/or externally

BREADTH & DEPTH

• Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required

• Lead and manages a team of specialists in executing Compliance Testing engagements for a TDBG business segment area

• Typically audit/controls orientation in the Securities market area overseeing Trade surveillance, exposure to tools such as Smarts and Trading Hub or equivalent.  

• Key contact for business management and dealing with non-routine information

• Focus is on short to mid-term planning (6 -12 months)

• Deep knowledge and understanding of businesses and organizational practices/ disciplines

• Set operational team direction and collaborate with others to execute on common goals

• Oversee management of team requiring workforce to decision on acceptable level of risk- Moderate to High-risk potential (loss/reputational) for functional area

• Generally, reports to a Senior Manager role

EXPERIENCE & EDUCATION

• Undergraduate degree or equivalent work experience

• 7+ years of experience

• Experience in audit/risk/compliance in Wealth Management

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 strive to make every interaction, product, and experience remarkably human and refreshingly simple for 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 foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities.

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.

If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.  

We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.

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