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The Wealth Shared Services Business Governance & Control team is responsible for managing the overall risk management and governance portfolio for TD Wealth. The team is responsible for ensuring timely and consistent implementation - across the Wealth businesses - of all risk, control and governance programs, initiatives, policies and standards.
The Regulatory Affairs team is responsible for intake and operationalization of regulatory change in the wealth businesses, thought leadership on Pan-Wealth initiatives with regulatory implications and resolution of regulatory and other risk-based escalations. Together with our control partners and stakeholders, this team is responsible for the intake, interpretation and solutioning of these matters with an end-to-end process to facilitate effective change management and new or enhanced policies/procedures/ technology, as applicable.
The role reports to the AVP, Regulatory Affairs, DI, WSS and Delivery. The Senior Manager will provide thought leadership, people leadership and strategic triaging of regulatory changes and escalations specifically in respect of the regulation of wealth entities by Securities Commissions and SROs. In this role the successful candidate will work closely with partners across the organization including; AML, Credit, Tax, Operations, Technology/Delivery, Compliance and Legal, among others, to help institutionalize a sustained culture of effective regulatory and non-regulatory change management and issue management through end to end solutioning including operationalization. We are looking for a self-motivated and innovative individual who excels in a fast paced, sometimes ambiguous and high impact business team.
Lead a high performing team to excel in role and in gaining experience in furtherance of their career development plans
Engage ongoing discussions and ultimately implement an engagement model with control partners and stakeholders
coordinate and work across G&C and Wealth Shared Services in respect of issues intake and escalations
Provide thought leadership, business and regulatory subject matter expertise to understand changes for the Wealth businesses
Lead the team in impact and gap assessments and operationalization of regulatory and other risk requirements
Provide subject matter expertise to interpret proposed changes, lead business and stakeholder discussions
Prepare high-quality presentation materials for executives
Effectively manage ad-hoc projects or tasks of varying complexities within established deadlines
Foster an environment and culture that encourages productivity, innovation, process improvement, teamwork, and a high level of professionalism
The ideal candidate should have prior experience in financial services and have related experience in a law, risk management or governance and control
Leadership skills including an ability to lead a high performing team and to lead in ambiguity
Ability to understand laws and regulations affecting the wealth businesses, and specifically securities regulations, as a compliment to Legal and Compliance functions. Understanding of SRO regulations and guidance is a key attribute.
Strong interpersonal skills, able to build relationships, effectively interact, influence and motivate individuals at all levels of the organization to make an impact
Excellent organization skills and ability to effectively manage work under tight timelines and changing priorities
Self-motivated, resourceful team player with high energy and ability to work independently
Comfortable leading through transformational change and recognized as a champion for continuous improvement
Excellent verbal and written communication skills including with senior management of the Bank
University degree is required and a law degree is considered an asset
Experience in governance for financial/securities firms is an asset,
Legal or compliance experience is an asset
Advanced skills with Microsoft product suite (Excel, PowerPoint, Visio etc)
At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live and serve. If you require an accommodation for the recruitment/interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.
Internal Number: 6477554
About TD Bank Group
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