Manager, Compliance – Global Transaction Banking Compliance Advisory (Canada) (5180)
About The Position
We are looking for a Manager, Compliance Advisory – Global Transaction Banking (GTB) to join TD Securities Compliance team in Canada. The ideal candidate must have compliance advisory experience in GTB supporting a wholesale and large corporate client base. Businesses within GTB include Corporate Cash Management, Global Trade Finance, Export and Agency Finance and Relationship Management. The Manager will support the management of the firm’s compliance program across these businesses and partner with other compliance teams for cross entity product development and management.
Requirements
- 5–7+ years of compliance advisory experience. Similar experience with a regulator or law firm will be considered.
- Experience providing legal, regulatory or compliance advice to Global Transaction Banking businesses, focusing on wholesale client coverage.
- Knowledge of Global Transaction Banking products.
- Strong understanding of applicable Canadian regulatory frameworks, including OSFI and other relevant regulators, with the ability to assess business impact.
- Excellent oral and written communication skills.
- Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced and high-pressure environment.
- Ability to project confidence and professionalism in dealings with senior business personnel.
- Ability to work on multiple projects in a fast-paced environment.
- Ability to work effectively in a global environment, leveraging and sharing best practices across regions.
Nice To Haves
- Familiarity with U.S. regulatory frameworks (e.g., Federal Reserve and OCC), cross-border risk and digital assets are an asset.
- JD, LLB, LLM or equivalent legal/regulatory background is a plus.
Responsibilities
- Provide day-to-day strategic advice and guidance to the Global Transaction Banking business.
- Advise business areas on firm policies and procedures, regulatory requirements, and industry best practices.
- Identify regulatory trends and developments that impact business areas and advise staff on potential implications to current activities.
- Draft, update, and implement relevant policies and procedures.
- Provide regulatory and compliance training to front office and control functions.
- Assist the business with implementing and documenting governance and control mechanisms.
- Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections.
- Interact with Canadian regulators and support related regulatory engagement.
- Ensure appropriate risks, controls, and governance frameworks are mapped to the business.
- Conduct compliance risk assessments to ensure an effective business control framework.
- Analyze new regulations and perform business impact assessments, including cross-border considerations where applicable.
- Provide ongoing reporting to senior management.
- Support the development of strategies and initiatives that enhance compliance and business objectives.
Benefits
- health and well-being benefits
- savings and retirement programs
- paid time off
- banking benefits and discounts
- career development
- reward and recognition programs
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What This Job Offers
Job Type
Full-time
Career Level
Manager
Education Level
No Education Listed
