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VP, Compliance Corporate Functions

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TD Bank

Oct 5

  • Job
    Full-time
    Expert Level
  • Government & Politics
    Legal
  • Toronto
  • Quick Apply

AI generated summary

  • You need a relevant degree, 10+ years in compliance, strong leadership and communication skills, strategic thinking, financial acumen, and the ability to work in ambiguity and influence at all levels.
  • You will guide Corporate Functions on regulatory compliance, lead compliance programs, manage risks, build relationships with regulators, and oversee a team of compliance professionals.

Requirements

  • University degree required: Post Graduate degree preferred
  • 10+ years of relevant industry and management experience
  • Familiarity with regulations and compliance strategies and risk management; possesses and demonstrates expertise in the advisory, policy, change management, project management and operations
  • 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
  • People leadership and management experience focused on talent development and coaching to nurture a high performing team
  • Ability to operate in an evolving, sometimes ambiguous, matrixed environment.
  • Strategic thinker; has excellent judgment, achieves the right risk/reward balance
  • Demonstrates ability delivering on objectives, focuses on what matters and can work across silos to build effective working relationships
  • 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 & diversity agenda
  • 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
  • Strong relationship building and negotiation skills and the ability to interact with sensitivity and leadership to advance and influence the culture Compliance aims to promote
  • Demonstrates strong problem solving & analytical skills, including the ability to comprehend a situation by breaking it down into its components and identifying underlying issues
  • Expertise in working effectively in ambiguity with all levels of colleagues and executives to enhance the colleague experience
  • Exhibits confident presentation and facilitation skills and strong interpersonal and leadership skills to facilitate working with business and senior management at all levels

Responsibilities

  • Provide objective guidance, as well as independent challenge to the Corporate Functions areas on regulatory compliance risk management and conduct risk management matters.
  • Regularly provide an independent compliance viewpoint to the Senior Executive Team leaders for each Corporate Function that includes insights on their risk management across all areas of Regulatory Compliance risk, their execution of their responsibilities under the RCM framework, and, where applicable, the efficacy of their Oversight Function responsibilities.
  • Lead and maintain the Corporate Office Compliance Programs to promote and foster a strong culture of integrity, ethics and regulatory.
  • Maintain practices and procedures to communicate to the business lines regulatory compliance requirements, standards and risks, and measures that should be taken to meet requirements and manage regulatory risks.
  • Develop and maintain constructive relationships between Senior Business Management across TD and the Senior Compliance Leaders and regulatory agencies to build and maintain trust in TD by our regulators and our business partners.
  • Provide routine and regular reporting of activities, issues, and events, through appropriate channels.
  • Maintain positive, honest, transparent, and constructive relationships with regulators.
  • Share early indications of significant regulatory issues that could significantly impact earnings or reputational risk with Corporate Segment leaders.
  • Attract and develop top talent within the team and build a strong succession plan for critical roles.
  • With 1st Line Business – Assist the business in the proactive assessment of regulatory risks and development of strategic risk mitigation plans.
  • Facilitating co-ordination between compliance teams in any regional offices in Canada, and partner with Corporate Office Compliance teams in the US.
  • Operate as a key member of the Compliance Senior Executive Team, the Compliance Teams and the Corporate Office Leadership teams.
  • Representing Corporate Functions on various forums and facilitating coordination with other internal control functions as required, e.g. Internal Audit and Operations.
  • The strategy and coordination of regulatory exams and investigations.
  • Contribute to the direction of TDBG compliance programs.
  • Represent TD Corporate Channels legal entities with regulators and in external forums.
  • Manage a team of compliance professionals.

FAQs

What is the location for the VP, Compliance Corporate Functions position?

The work location for this position is Canada.

What are the expected working hours for this role?

The expected working hours are 37.5 hours per week.

Who does the VP, Compliance Corporate Functions report to?

The VP, Compliance Program, Strategy & Operations reports to the TDBG SVP, Chief Compliance Officer of TDBG.

What are the primary responsibilities of this position?

The primary responsibilities include providing guidance on regulatory compliance risk management, maintaining Corporate Office Compliance Programs, developing relationships with Senior Business Management and regulatory agencies, and managing a team of compliance professionals.

What qualifications are required for this role?

A university degree is required, and a post-graduate degree is preferred, along with 10+ years of relevant industry and management experience.

What skills are necessary for the VP, Compliance Corporate Functions position?

Strong verbal and written communication skills, leadership and management experience, strategic thinking, analytical skills, and the ability to operate in a fast-paced, ambiguous environment are necessary.

Does this position involve managing a team?

Yes, this position involves managing a team of compliance professionals.

What type of rewards and benefits does TD offer?

TD offers a Total Rewards package, which includes a base salary, variable compensation, health and well-being benefits, savings and retirement programs, paid time off, and career development opportunities.

Is there any support for career development within TD?

Yes, TD provides regular career development conversations, access to an online learning platform, and various mentoring programs to support colleagues in their career paths.

How does TD approach the onboarding process for new hires?

TD provides training and onboarding sessions to ensure new hires have everything they need to succeed in their roles.

Will there be accommodations available during the interview process?

Yes, TD is committed to accessibility and will provide accommodations (such as accessible meeting rooms or captioning for virtual interviews) to remove barriers during the interview process.

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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