Senior Compliance Business Oversight Manager (4829)

TD•Toronto, ON

7d•Onsite

About The Position

The Global Compliance Department is responsible for overseeing Regulatory Compliance across TDBG in accordance with the Global Compliance Department Mandate, Framework and Standards. This includes independently assessing the adequacy, adherence, and effectiveness of Regulatory Compliance Management (RCM) programs and controls in the business. The department also delivers objective guidance and independent challenge to the business, proactively managing regulatory change and providing trusted and reliable reporting, advice and opinion to senior leadership and the Board on the state of regulatory compliance risks, controls, and outcomes. As part of Enterprise Corporate Office Compliance (COC), the Senior Manager will provide leadership of the RCM program engaging with Corporate Functions that are Oversight Functions (accountable for RCM oversight of laws, rules, and regulations) and Risk Owners (manage controls to mitigate regulatory compliance risk). As a Second Line Compliance Function, the Senior Manager provide objective advice and independent challenge of Corporate Functions adherence to the RCM Framework and Standards and broader Compliance programs and will report to the AVP, Enterprise Corporate Office Compliance.

Requirements

Undergraduate degree
Relevant professional designation and/or certifications, as required
10+ years relevant experience

Responsibilities

Lead, develop and coach a team responsible for Second Line oversight of the RCM Framework and Standards
Develop RCM and COC program (e.g., third party, related party reporting) subject matter expertise and strong understanding of the Corporate Functions program to effectively oversee regulatory compliance risk.
Contribute to the development and implementation of Compliance programs.
Provide trusted advice, guidance and review and challenge to Oversight Functions and Risk Owners in alignment to the RCM Framework and Standards
Lead complex discussions with an Executive stakeholder group, gain consensus and drive appropriate outcomes.
Articulate regulatory compliance risk issues in a simplified, easy to understand manner in communication and reporting to Executive Committees and the Board
Develop a strong understanding of the federated model and lines of defense to effectively navigate to deliver on mandate.
Prepare Executive communication, briefing materials, policies and standards, departmental procedures.
Develop strong working relationship and partner with other Compliance Units, including US Compliance, on RCM Program requirements.
Champion the Compliance Programs by leading initiatives, forums, discussions and representing COC at Corporate Functions meetings, committees and working groups.
Keep abreast of emerging issues, trends and evolving regulatory requirements and assess potential impacts.
Provide thought leadership and/ or industry knowledge for own area of expertise and participate in knowledge transfer within the team and business.