Manager, Process Transformation (4890)

TD•Toronto, ON

10d•Onsite

About The Position

The Compliance Process Transformation Manager is responsible for supporting the modernization, refinement, and ongoing enhancement of the Wealth Compliance operating model, with a primary focus on the Tier 2 Surveillance program. Reporting to the Senior Compliance Business Oversight Manager, Tier 2 Surveillance, this role will lead and support initiatives designed to improve workflows, controls, documentation, evidencing, reporting, and overall operating effectiveness across Wealth Compliance, with a particular emphasis on Tier 2 Surveillance. The successful candidate will work closely with Compliance, governance, business, technology, and control partners to assess current-state processes, identify opportunities for improvement, and implement practical and sustainable enhancements. This role is intended for a candidate with strong process improvement, change delivery, and stakeholder management capabilities, together with sound judgment in a regulated compliance environment.

Requirements

Undergraduate degree.
Relevant professional designations and/or certifications, as required or considered an asset.
7+ years of relevant experience in compliance, risk management, surveillance, business controls, process improvement, transformation, project delivery, or a related function.
Experience in process mapping, workflow redesign, procedure enhancement, control improvement, and implementation of change in a regulated environment.
Strong understanding of governance, risk, control, and documentation expectations within a compliance, risk, or oversight function.
Experience working with cross-functional stakeholders, including Compliance, business, technology, governance, and control partners.
Strong analytical, organizational, communication, and stakeholder management skills.
Experience with reporting tools, workflow tools, case management platforms, automation initiatives, or compliance technology solutions is an asset.

Responsibilities

Lead initiatives to modernize and refine Tier 2 Surveillance processes, workflows, and operating practices in support of the Wealth Compliance program.
Review current-state surveillance processes to identify inefficiencies, duplicative steps, control gaps, and opportunities to improve consistency, quality, and execution, and support similar process reviews across other Wealth Compliance activities, as required.
Design and implement practical process improvements that enhance surveillance effectiveness, evidencing, governance, and operational efficiency.
Support the development, documentation, implementation, and maintenance of enhanced procedures, standards, templates, and workflow protocols, and where applicable, similar enhancements for other Wealth Compliance processes.
Partner with surveillance teams and key stakeholders to understand operational pain points, execution challenges, and opportunities for process improvement across Wealth Compliance.
Help strengthen escalation paths, review protocols, documentation practices, and quality assurance measures across the surveillance function, and across other Wealth Compliance processes, where appropriate.
Contribute to the refinement of reporting, metrics, dashboards, and management information to support oversight, trend analysis, issue identification, and decision-making.
Support the development of business requirements for technology enhancements, workflow tools, reporting improvements, and automation opportunities relevant to Tier 2 surveillance and other Wealth Compliance transformation initiatives, where applicable.
Assist in implementing change initiatives, including stakeholder engagement, communications, training, rollout support, and post-implementation refinement.
Maintain current knowledge of relevant regulatory requirements, compliance developments, and industry practices to support process enhancements that remain aligned with expectations.
Participate in projects, working groups, and key deliverables relating to surveillance transformation, regulatory change, and continuous improvement across Wealth Compliance.
Escalate significant risks, issues, dependencies, and implementation challenges to management in a timely manner.
Assist in the development and enhancement of policies, procedures, standards, and governance documentation for Tier 2 Surveillance, and for other Wealth Compliance processes, as required.
Support the implementation of programs, policies, and practices to ensure they are well managed, meet business needs, satisfy internal and external requirements, and align with business priorities.
Promote strong process discipline, control design, and documentation standards across the surveillance function, and Wealth Compliance more broadly.
Conduct analysis to support the identification, assessment, and mitigation of operational, compliance, and execution risks within surveillance processes, and other Wealth Compliance processes, where assigned.
Support the preparation of management reporting, dashboards, presentations, and status updates for leadership and governance forums.
Support internal reviews, assessments, and inquiries relating to surveillance processes, controls, documentation, and program effectiveness, and as needed, other Wealth Compliance process transformation initiatives.
Conduct internal and external research on regulatory developments, industry practices, and emerging solutions relevant to surveillance modernization.
Build and maintain strong relationships across Compliance, business, governance, technology, and control functions to support effective delivery of transformation priorities.
Help ensure process changes are implemented in a manner that is sustainable, appropriately controlled, and aligned with risk appetite.
Contribute to a culture of continuous improvement, accountability, and sound risk management.
Participate fully as a member of the Tier 2 Surveillance team and broader Compliance team, and support a positive, collaborative, and high-performing work environment.
Provide thought leadership and practical guidance on process design, workflow optimization, implementation planning, and continuous improvement.
Build and maintain productive working relationships with internal partners and stakeholders to support successful delivery of transformation initiatives.
Support knowledge transfer and capability building within the team through documentation, best practices, and lessons learned.
Keep management and partners informed of initiative status, implementation progress, emerging issues, and key decisions.
Contribute to team effectiveness by helping coordinate work across multiple priorities and supporting disciplined execution.
Foster an environment that supports innovation, collaboration, accountability, and continuous improvement.
Support a fair, positive, and equitable environment that advances a diverse workforce.
Act as a brand ambassador for the business area/function and the Bank, both internally and externally.