Senior Manager, Wealth & Insurance Compliance, Compliance Programs And Transformation

Work Location:
Toronto, Ontario, CanadaHours
37.5Line Of Business
CompliancePay Details
$115,600 - $163,200 CADTD 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
Position Summary
Reporting to the Vice President, Wealth and Insurance Compliance, the Senior Manager, Wealth & Insurance Compliance, Compliance Programs and Transformation is a senior Compliance leader responsible for managing and coordinating centralized Compliance programs, Regulatory Compliance Management (RCM) activities, and regulatory risk oversight across TD Wealth and TD Insurance businesses.The role is accountable for maintaining an effective, risk-based Compliance program that is aligned with the Enterprise Regulatory Compliance Management Framework, regulatory expectations, and TD's strategic priorities.Individual Role Accountabilities And Decision Authorities
Accountabilities adhere to the TD Compliance Department Mandate and are executed in accordance with key Compliance Program elements and processes established within the Enterprise Regulatory Compliance Management Framework.Regulatory Compliance Management & Centralized Program Leadership
Manage and coordinate Wealth and Insurance Compliance oversight of centralized programs and second line functions, including Regulatory Compliance Management (RCM), Risk and Control Self-Assessments (RCSA/RCRA), Regulatory Change Management, Monitoring & Testing, Training, Governance, Issues Management, GRIC, Reporting, Data Management, and related enterprise initiatives.Oversee and manage regulatory risk activities across Wealth and Insurance businesses by leading Compliance assessments of the regulatory risk management environment and compliance program effectiveness, with appropriate escalation to the Vice President and applicable Chief Compliance Officers.Lead the development, implementation, maintenance, and enhancement of Wealth and Insurance Compliance oversight programs to ensure ongoing alignment with Enterprise standards and evolving regulatory expectations.Manage and support execution of Compliance department strategic priorities, ensuring alignment of Wealth and Insurance Compliance programs with enterprise priorities, business objectives, and regulatory risk outcomes.Assess governance, procedures, controls, reporting, and supporting infrastructure that facilitate execution of the Enterprise RCM Framework and fulfillment of the Compliance mandate.Oversee the development, maintenance, implementation, and continuous improvement of Compliance policies, procedures, and program documentation, including applicable Compliance Manuals.Support annual Compliance self-assessments and RCM assessments that contribute to Chief Compliance Officer opinions and Enterprise reporting requirements.Support governance, reporting, and escalation through Compliance governance forums, including preparation of materials, insights, and recommendations on Compliance program effectiveness, regulatory risk themes, and emerging issues.Support regulatory exams processes and audit managementOversight of regulatory filings and reportingMaintain practices and procedures that effectively identify, assess, monitor, report, and manage regulatory compliance risks.Regulatory and Conduct Risk Oversight
Provide independent oversight and challenge regarding regulatory compliance and conduct risk management across Wealth and Insurance businesses.Lead Compliance assessments of business control environments and monitor emerging regulatory risks, industry developments, and conduct risk trends.Oversee and coordinate issue identification, escalation, remediation, validation, and reporting activities, escalating material matters to the Vice President and applicable Chief Compliance Officers.Support development and ongoing monitoring of Compliance Risk Appetite measures and associated reporting.Where assigned, lead or oversee remediation initiatives impacting Wealth, Insurance, or broader Compliance programs.Support the preparation of executive, Board, and committee reporting related to regulatory developments, compliance risks, conduct risks, and program effectiveness.Strategic Transformation and Operational Excellence
Lead continuous improvement initiatives for Wealth and Insurance Compliance through technology enablement, automation, enhanced data analytics, process simplification, and operational modernization.Champion innovative approaches to monitoring, testing, regulatory change management, governance reporting, and risk oversight.Act as a subject matter leader across Compliance in addressing complex regulatory issues, emerging risks, and strategic challenges.Develop and maintain strong relationships with leaders and key partners across Wealth, Insurance, Compliance, Risk, Legal, and Corporate functions.Translate Compliance department strategic priorities into actionable plans, deliverables, and operating routines that strengthen program effectiveness, governance discipline, and execution consistency.Leadership Accountabilities
Lead and develop a high-performing team of Compliance professionals.Foster a culture of accountability, collaboration, inclusion, innovation, and continuous improvement.Build organizational capability through coaching, development, succession planning, and knowledge sharing.Participate in relevant Compliance leadership forums and support enterprise-wide Compliance priorities and initiatives.Provide leadership support for Compliance policy and procedure governance, including clear ownership, periodic review, change management, and effective communication of requirements across Wealth and Insurance Compliance.Shared Responsibilities And Decision Authorities
With First Line Business Management
Provide guidance and effective challenge on regulatory compliance and conduct risk management practices.Support the development of strong compliance culture and risk management capabilities.With Legal, Risk Management And Governance Functions
Provide trusted, objective advice on regulatory change, risk management, remediation strategies, and emerging regulatory issues.Support development of practical and sustainable risk management solutions.With Human Resources
Coordinate on training, investigations, employee conduct matters, and talent management initiatives where appropriate.With Compliance Leadership
Support and influence Compliance culture, capability development, strategic priorities, and organizational effectiveness.Coordinate with Compliance Leadership on GRIC priorities, policy and procedure governance, and execution of department-wide strategic initiatives.Key Metrics / Measures of Success
Risk and Regulatory Outcomes
Effectiveness and maturity of Wealth and Insurance Compliance programs.Effective execution of Enterprise RCM Framework requirements.Operation within approved Compliance Risk Appetite.Timely identification, escalation, and remediation of regulatory compliance issues.Effective coordination and support of regulatory examinations, inquiries, and reviews.Operational Excellence
Delivery of Monitoring & Testing and centralized program objectives.Timely execution of strategic initiatives and transformation programs.Enhanced efficiency through automation, analytics, and process improvements.Effective delivery of Compliance department strategic priorities, GRIC commitments, and policy and procedure governance objectives.Stakeholder Effectiveness
Strong partnerships with business, regulators, and functional partners.Timely and effective regulatory engagement.High-quality governance reporting and risk insights.People Leadership
Employee engagement and talent outcomes.Succession readiness and capability development.Attraction, retention, and development of diverse, high-performing talent.Decision Authorities
Owns
Day-to-day management and coordination of assigned centralized Compliance programs and second-line oversight activities, within delegated authority.Coordination and execution of Compliance self-assessments and RCM program assessments, including escalation of material conclusions for approval.Day-to-day management of the Compliance regulatory change management program.Assigned Compliance governance, monitoring, testing, reporting, controls, issue management, and data governance processes, within established frameworks and delegated authority.Delivery of assigned Compliance program transformation and effectiveness initiatives.Coordination of the governance and maintenance of Compliance policies, procedures, and manuals, including the Compliance Operations Manual and applicable Compliance Manuals.Preparation and coordination of Compliance program reporting
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