human resources manager
Title posted on CareerBeacon -
Manager, Compliance Business Oversight ()
Posted on
September 25, 2024
by
Employer details
TD Bank
Job details
Work Location:CanadaHours:37.5Line of Business:CompliancePay Details:We're committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.Job Description:Department OverviewThe TD Wealth Compliance Department provides compliance advisory and second line oversight of TD Wealth businesses, including: TD Waterhouse Canada Inc. (an CIRO registrant that includes Private Investment Advice, Financial Planning, and Direct Investing), Private Investment Counsel (an OSC registrant), TD Asset Management (an OSC registrant), TD Wealth Insurance Services, Private Trust, and Private Banking.The Associate Vice President, Wealth Compliance and their team collaborate and support TD Wealth Chief Compliance Officers and Wealth businesses in certain Compliance areas, including Regulatory Compliance Management (RCM) Program Management, Regulatory Change Management, Reporting, Innovation, Training and other projects. A multi-disciplinary team of compliance professionals supports these activities. Given the range of businesses supported, and the breadth of applicable regulations, the day-to-day work of the group is both interesting and complex, requiring compliance and wealth management subject matter expertise.The team has an immediate need for a Manager, Business Compliance Oversight, reporting to Senior Manager, Business Compliance Oversight.Job DetailsThe Manager will be supporting Wealth Compliance's development, implementation and/or support for assigned initiatives such as Regulatory Compliance Management (RCM) program elements including Risk Assessment and Issues Management; compliance or regulatory matters; issues resolution and/or other projects. You will be providing compliance advice, guidance, support and effective challenge of the Wealth Canada businesses in meeting regulatory requirements and expectations.The Manager, Business Compliance Oversight accountabilities will include, but not limited to: Manage and support the team on Wealth Compliance's development and implementation of assigned Compliance programs or other initiatives, including but not limited to RCM Risk Assessment and Issues ManagementLead, manage, remediate and execute the work efforts to keep Wealth Compliance's Merlin Issues Management records up to dateLead, draft and/or review reporting on the state of Wealth issues, regulatory compliance risks, controls and outcomes, identifying trends and analysisDevelop and maintain RCM related policies and procedures, including those impacting Issues Management, RCM AssessmentLead the strategy, solution and execution of activities required to address select Wealth Compliance issuesReview business owned policies, procedures, controls, other documentation for regulatory compliance risksEngage with stakeholders to develop, implement and/or execute proactive strategies, tactics, policies, procedures, processes and programs to drive efficiencies while effectively managing regulatory compliance risks and requirementsCollaborate with stakeholders to gather and assess requirements; consider alignment cross platform or functions; identify, assess and address risks, issues and escalations; and provide advice that aligns with Compliance strategy and objectives and regulatory requirementsAssess, recommend, develop, draft and/or implement policies, procedures, processes, controls and/or actions to address regulatory requirements, initiatives, issuesMaintain a culture of risk management and control, supported by effective processes in alignment with risk appetiteParticipate in committees or working groups to represent Wealth Compliance, as assignedProvide compliance guidance, challenge and oversight for business projects and initiativesSupport the Road to Strong (RTS) initiative for WealthDesign and execute select Wealth Compliance monitoring activities of RCM contro
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LocationToronto, ON
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Workplace information
On site
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SalaryNot available
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Terms of employment
Permanent employmentFull time
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Starts as soon as possible
- vacancies
1 vacancy
- Source
CareerBeacon
#2114323
Advertised until
2024-10-25
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