Senior Manager, Surveillance Initiatives and Portfolio Management, TD Securities (3221)

Work Location:
Toronto, Ontario, Canada

Hours:
37.5

Line of Business:
Compliance

Pay Details:
$108,800 - $163,200 CAD

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:

Department Overview
The Global Compliance Surveillance Department is responsible for overseeing regulatory compliance across TDS in accordance with the Global Compliance Operating Framework. The team is accountable for promoting regulatory compliance by developing and maintaining a comprehensive trade and communications surveillance program, including identifying emerging risks, regulatory developments related to surveillance, maintaining Compliance Surveillance departmental procedures, providing relevant training for Surveillance, conducting quality assurance of alert disposition , reporting on the state of Surveillance program to the Board, senior management, and regulators, as needed, and effective check and challenge.

Job Details

Reporting to the Canada Head of Trade and Communications Surveillance (matrix reporting to the Global Head), Director, Canada Surveillance Initiatives and Portfolio Management will be responsible for: maintaining TDS' compliance surveillance framework; leading large surveillance projects (e.g., remediation, implementing new surveillance tools); preparing status on projects and the state of the surveillance program; and broadly ensuring that the Surveillance program is robust, adaptive, and aligned with global regulatory expectations. The ideal candidate will possess a strong compliance acumen, leadership qualities, and the ability to drive strategic initiatives in a complex regulatory environment.

Key Responsibilities

• Reporting: Assist with leading surveillance oversight /governance committees for Trade and Communications Surveillance; report on the status of surveillance remediation and modernization initiatives; and enhance and streamline TDS Surveillance's current reporting across regional committees and boards (e.g., surveillance metrics, operational issues, and related reporting). Provide the leadership team with relevant Management Information, reporting, and support to ensure surveillance operational issues (e.g. vendor issues and surveillance outages) are appropriately managed, addressed, tracked and reported on in governance.
• Surveillance Portfolio Management: Work with the Head of Surveillance, DDI, technology and key stakeholders (e.g., Communications Surveillance Leads, Trade Surveillance Leads, and Chief Compliance Officers globally) to develop clear deliverables, milestone, and project plans for regulatory initiatives, new surveillance deployments, and surveillance enhancements.
• Issues Management: Track and manage Regulatory and Audit Findings related to surveillance to ensure that such findings are properly and timely addressed (i.e., oversee progress of all internal and/or external audit issues relating to Surveillance with key stakeholders).
• Read Across: Coordinate surveillance "read across" reviews of internal and external events, including root cause analysis, identification of themes and emerging risks,, process improvement. Timely reporting on findings and/or recommendations for enhancements, to the Global and Canada Head of Surveillance and Compliance senior management.
• Surveillance Portfolio Management: Work with the Global and Canada Head of Surveillance, DDI, technology and key stakeholders (e.g., Communications Surveillance Leads, Trade Surveillance Leads, and Chief Compliance Officers globally) to develop clear deliverables, milestone, and project plans for remediation initiatives, new surveillance deployments, and surveillance enhancements.
• Surveillance Procedures: Work with the Trade and Communications Surveillance leads in Canada, US, and other regions, to ensure that departmental surveillance procedures and timely and accurately updated.
• Regulatory Responses: Work with key stakeholders with Surveillance and Compliance broadly to respond to regulatory inquires, requests for data, and exam inquiries as they relate to Surveillance.
• Briefings and Presentations: Prepare summaries, presentations, briefing notes, and other required documentation to effectively report on the status of Surveillance to senior governance and Boards. As needed, report in senior governance on the Surveillance program.
• Program Enhancements: Identify and recommend opportunities to enhance productivity, effectiveness, and operational efficiency across the Global TDS Surveillance function.
• Tone at the Top: Work with the Surveillance and Compliance leadership Team to set the Compliance culture, people development, and training.
• Talent: Attract, retain and develop a high performing team focused on implementing the above responsibilities

Key Shared Accountabilities

• Set "tone at the top" in support of a strong risk & compliance culture within Compliance and across the enterprise.
• With business and other Risk partners promote a strong governance & control environment with periodic assessments against industry practices
• With Risk, ensure that the Bank operates within the compliance risk appetite and that operational risk from a Compliance standpoint is being effectively mitigated, assessed, and managed.
• Keeps current on emerging risks, trends and evolving regulatory requirements for Compliance
• Builds positive, diverse, and open work environment by continually improving the efficiency, sharing deep knowledge and skills, and encouraging the team to deliver results.
• Attracts, develops, retains talent, and maintains an active talent pipeline.

Job Requirements

• University degree required: MBA, JD, CFA or other Compliance certifications an asset.
• 7-10 years of relevant industry and management experience in Compliance and Surveillance.
• Experience managing complex regulatory remediation.
• Familiarity with regulations and compliance strategies and risk management; possesses and demonstrates expertise in the surveillance, change management, project management and operations.
• People leadership and management experience focused on talent development and coaching to nurture a high performing team
• Highest personal and professional integrity and standards to advance TD's vision and protect the brand
• Strong verbal and written communication skills, including public speaking/presentation skills and well developed listening and negotiation skills
• Ability to work in a fast-paced environment and manage multiple priorities
• Ability to operate in an evolving, sometimes ambiguous, matrixed environment.
• Strategic thinker and excellent judgement;
• Demonstrates ability delivering on project and departmental issues.
• Demonstrated ability to identify regulatory risks and issues, and to propose practical solutions to mitigate risk, as it relates to compliance surveillance.
• Demonstrated ability to work across teams globally and to build effective working relationships across diverse stakeholder.
• Transparent communicator and respected TD representative, both internally and externally.
• Models TD's executive leadership profile: skilled leader, high confidence, low ego, inspiring to professionals, operates through influence, motivates and developments leadership teams.
• Advances TD's leadership development, colleague experience and diversity initiatives,
• Possesses an advanced level of financial and strategic acumen to provide insight on strategy development and execute effectively on a broad range of key business management activities.

*Hybrid Work Model: 2days in office, 3 days remote

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 deliver legendary customer experiences to 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 the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing - and so will you.

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. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals.

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