Compliance Oversight Officer

1 week ago

London, Greater London, United Kingdom The Toronto-Dominion Bank (Canada) Full time

Job Summary

As a Compliance Oversight Officer with TD Bank Group, you will play a critical role in ensuring the global compliance program aligns with regulatory requirements. This position requires strong leadership and collaboration skills to work with various stakeholders across Compliance, Governance & Control, Legal, and the business in Europe, North America, and Asia.

Key Responsibilities

  • 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.
  • Support the identification, interpretation, and assessment of the impact of new regulatory requirements.
  • Maintain practices and procedures to communicate regulatory compliance requirements and standards to manage regulatory risks.
  • Develop and maintain robust relationships between Senior Business Management and Senior Compliance Leaders.
  • Provide routine and regular reporting of actual or potential non-compliance.

Requirements

  • Deep regulatory, industry, and operational knowledge.
  • Experience in compliance or risk management programs, with a preference for candidates who can demonstrate development of program elements and implementation of regulatory change management.
  • Registration as Compliance Oversight Officer with local UK securities regulator.

About TD Bank Group

TD Bank Group is one of the world's leading global financial institutions, with a commitment to fostering an inclusive and accessible environment. We deliver legendary customer experiences to over 27 million households and businesses worldwide, with a focus on customer experience, innovation, and community development.

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