Friday , February 23 2024

Jobs at TD – Compliance Business

Website TD Bank

Job Description:

The Global Compliance Department is responsible for overseeing Regulatory Compliance across TDBG in accordance with the Global Compliance Framework. This includes ensuring that businesses are aware of the legislation under which they are governed, and providing advice and support as required. The team is also accountable for promoting regulatory compliance by developing and maintaining compliance programs, including relevant training, carrying out independent monitoring and oversight activities and meeting reporting requirements.

Job Responsibilities:

  • Detective Activities: Detect and mitigate violations of regulatory or internal policy requirements; Independently monitor and assess effectiveness of business regulatory compliance controls; Support regulatory Compliance Department testing and monitoring programs;
  • Issue Management: Provide guidance throughout the life cycle of an issue, from detection to resolution; Review business action plans for effectiveness and timely implementation; Report on existing and emerging regulatory compliance issues and risks to Compliance senior management, business senior management, and regulators as required;
  • Regulatory Engagement Assist with responding to regulatory examinations and investigations, completing required filings and reporting to regulators;
  • Preventive Guidance: review new products and processes; participate in business-initiated projects and provide advice on regulatory requirements; Provide guidance to the business in establishing day to day regulatory compliance controls; Support the implementation and sustainability of an effective first line oversight program within the business;

Job Requirements:

  • Strong critical thinking, organizational and problem-solving skills;
  • Ability to deliver on priorities under tight deadlines;
  • Ability to liaise with a number of internal stakeholders, including executives, to prepare reports
  • Customer experience orientation;
  • Strong interpersonal skills with the ability to interact at all levels of the Bank with superior organizational awareness;
  • Ability to operate in an evolving, sometimes ambiguous environment;
  • Knowledge of Canadian Banking products, policies & processes is preferred
  • Previous experience related to regulatory compliance, legal, or risk management is an asset
  • Excellent written and oral communication skills
  • Ability to understand regulatory requirements and apply that knowledge to business-specific scenarios (candidates selected for an interview will be asked to prepare a written regulatory analysis based on a hypothetical scenario)

Job Details:

Company: TD Bank

Vacancy Type:  Full Time

Job Location: Toronto, Canada

Application Deadline: N/A

Apply Here