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Senior Manager, Compliance Business Oversight

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TD Bank

Sep 12

  • Job
    Full-time
    Senior Level
  • Legal
    Banking & Finance
  • London
  • Quick Apply

AI generated summary

  • You need extensive compliance/risk management experience, investment product knowledge, analytical skills, UK regulatory registration, and ideally a law degree or relevant certifications.
  • You will oversee compliance, assess controls, manage regulatory changes, communicate requirements, report non-compliance, and maintain relationships with regulators and business leaders.

Requirements

  • Job requirements:
  • Deep regulatory, industry and operational knowledge.
  • Experience in compliance or risk management programs, with preference for candidates who can demonstrate development of program elements and implementation regulatory change management.
  • Deep experience and understanding of investment management products and strategies.
  • Ability to assess compliance and other risks to prioritize issues and properly balance competing risks and priorities.
  • Registration as Compliance Oversight Officer for TD Epoch UK with local UK securities regulator.
  • Ability to manage large number of complex issues and priorities effectively at the same time, and juggle priorities as demands warrant.
  • Demonstrated ability to provide actionable advice to assist the business in achieving business goals in a compliant manner.
  • Ability to work collaboratively across multiple management teams.
  • Analytical and problem-solving skills, including the ability to elicit requirements from the business perspective, synthesize the information and articulate those requirements in a manner that can be easily understood.
  • Ability to articulate critical issues for escalation.
  • Solid research, investigative and organizational skills.
  • Specific Educational Requirements / Accreditations
  • University or College degree and minimum of 7+ years relevant business, Compliance, Legal or risk management experience preferred.
  • Law degree (JD or LLB) preferred. Relevant training and industry certifications are desirable.
  • Undergraduate degree with a major/specialty in investment industry is an asset.

Responsibilities

  • As Compliance Oversight Officer for TD Epoch UK, assist the business in upholding a strong culture of compliance and provide independent oversight of compliance with applicable laws, regulations and guidelines using a risk-based approach.
  • Assess the adequacy of, adherence to, and effectiveness of day-to-day Regulatory Compliance Management controls, based on independent monitoring and testing conducted, active participation on committees and working groups and other data sources.
  • As determined by Compliance Senior Executive Team (CSET), assist in providing required information for the Compliance Department Self-Assessments which in turn support the TD Global CCO Opinion on RCM program effectiveness.
  • In support of the global compliance program, implement and maintain independent monitoring and testing.
  • Proactively manage regulatory change by supporting the identification, interpretation and assessing the impact of new regulatory requirements as well as assisting the business in implementation.
  • Working within the larger global compliance framework, maintain practices and procedures to communicate regulatory compliance requirements and standards to manage regulatory risks.
  • Develop and maintain robust relationships between Senior Business Management across TD and the Senior Compliance Leaders to facilitate strong relationship development and regular reporting.
  • Provide routine and regular reporting of actual or potential non-compliance including emerging trends and risks.
  • As Compliance Oversight Officer, act as key regulatory contact for local securities regulators with respect to TD Epoch UK and maintain positive, honest, transparent and constructive relationships with regulators.
  • Share early indications of significant regulatory issues that could materially impact earnings, result in regulatory sanctions or reputational risk with Business Segment leaders, Risk Partners and Compliance Management.
  • Provide subject matter expertise on projects and initiatives.

FAQs

What is the location for this job?

The job is located in London, United Kingdom.

What are the working hours for this position?

The working hours for this position are 35 hours per week.

What line of business does this role belong to?

This role belongs to the Compliance line of business.

What is TD Global Investment Solutions?

TD Global Investment Solutions (TDGIS) is the global distribution identity of TD Bank Group's institutional asset management businesses, providing a range of investment solutions to clients such as corporations, pension plans, foundations, and sovereign wealth funds.

What are the main responsibilities of the Senior Manager, Compliance Business Oversight?

The main responsibilities include providing leadership in compliance oversight, assessing regulatory compliance controls, managing regulatory change, maintaining relationships with senior management and regulators, and providing subject matter expertise on projects and initiatives.

What are the qualifications required for this position?

Candidates should have a university or college degree with a minimum of 7+ years of relevant experience in business, compliance, legal, or risk management. A law degree (JD or LLB) and relevant industry certifications are preferred.

Is prior regulatory experience necessary?

Yes, deep regulatory, industry, and operational knowledge is required, along with experience in compliance or risk management programs.

What attributes are critical for this role?

Critical attributes include strong analytical and problem-solving skills, the ability to manage multiple complex issues, and effective communication abilities to provide actionable advice.

Will there be opportunities for professional development?

Yes, there will be regular leadership and development conversations, access to an online learning platform, and various mentoring programs for career advancement.

What type of benefits does TD offer?

TD offers a Total Rewards package that includes a base salary, health and well-being benefits, paid time off, career development opportunities, and reward and recognition programs.

Is there an accommodation process during recruitment?

Yes, if you require accommodations for the recruitment or interview process, you should inform the team, and they will work with you to meet your needs.

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TD Bank

Finance
Industry
10,001+
Employees

Mission & Purpose

Headquartered in Toronto, Canada, the Toronto-Dominion Bank and its subsidiaries are collectively known as TD Bank Group (TD). TD had CDN$1.9 trillion in assets on July 31, 2023. TD also ranks among the world’s leading online financial services firms, with more than 16 million active online and mobile customers. TD offers a full range of financial products and services to over 27.5 million customers worldwide through four key business lines: - Canadian Personal and Commercial Banking including TD Canada Trust, Business Banking, and MBNA - U.S. Retail including TD Bank, America’s Most Convenient Bank, TD Auto Finance (U.S.), TD Wealth (U.S.) and TD’s investment in Schwab - Wealth Management & Insurance including TD Wealth (Canada), TD Direct Investing, and TD Insurance - Wholesale Banking including TD Securities and TD Cowen

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