Associate Vice President, TD Investment Services (TDIS) Compliance

Work Location:

Toronto, Ontario, Canada

Hours

37.5

Line Of Business

Compliance

Pay Details

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

The AVP and Chief Compliance Officer of TDIS will lead Canadian Banking Compliance and conduct risk programs while providing independent oversight, regulatory guidance and effective challenge across the business. The AVP and CCO owns assigned compliance strategy and execution, risk assessment priorities, material issue escalation, assigned policy approvals or recommendations, and TDIS Board reporting. They influence material business decisions, new activities, regulatory relationships, remediation strategy, risk acceptance and corrective-action priorities, working with business leaders, Legal, Risk Management, Human Resources, regulatory affairs, Audit and other corporate functions.

Depth And Scope

• Lead and maintain the Canadian Banking Compliance and conduct risk programs for consumer legislation, branch banking and TDIS in alignment with the Global Compliance Operating Framework (GCOF).
• Assess the adequacy, adherence and effectiveness of day-to-day RCM controls using independent monitoring, testing and other risk indicators.
• Provide trusted, independent and objective guidance and effective challenge to first-line businesses on regulatory compliance and conduct risk.
• Oversee branch reviews, trade surveillance, Approved Person registrations and other monitoring, testing and oversight activities; identify, escalate and oversee resolution of compliance issues.
• Lead regulatory change management, including environmental scanning, interpretation, impact assessment, communications, training and implementation support.
• As CCO of TDIS, assess compliance by TDIS and its Approved Persons with applicable self-regulatory requirements and securities legislation.
• Report urgent matters to the TDIS Ultimate Designated Person and report quarterly to the TDIS Board on monitoring and testing results, regulatory change, issues and events.
• Represent Compliance at the TDIS Controls & Governance Committee and maintain constructive relationships with regulators, industry peers and key dealer stakeholders.
• Review material new products, services, processes and dealer initiatives and provide practical regulatory guidance through committees and working groups.
• Build for the future by hiring, developing, coaching and retaining a high-performing, diverse Compliance team.
• As a member of the Compliance Leadership Team, contribute to Compliance strategy, culture, talent and enterprise priorities.
  
  

Education And Experience

• University degree required; Law degree preferred.
• 10+ years of progressive leadership experience in compliance, legal, regulatory, or risk management within financial services.
• Strong knowledge of securities regulation, mutual fund dealer operations, and CIRO requirements.
• Eligible to serve as Chief Compliance Officer and meet applicable regulatory proficiency requirements.
• Proven track record leading compliance programs and advising senior executives and boards on regulatory risk and governance.
• Deep consumer protection, securities, regulatory and operational knowledge.
• Ability to assess compliance risk, prioritize issues and exercise sound judgement in ambiguity.
• Strong control and risk management mindset with forward-looking judgement.
• Executive communication, negotiation and stakeholder management skills.
• Ability to challenge constructively while providing practical, value-added guidance.
• Demonstrated people leadership and talent development.
  
  

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