Compliance Oversight Officer

3 months ago

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

Description

:

Headquartered in Toronto, Canada, with ~95,000 employees around the world, the Toronto-Dominion Bank and its subsidiaries are collectively known as TD Bank Group (TD). TD offers a full range of financial products and services to over 27.5 million customers worldwide with CDN$1.9 trillion in assets on July 31, 2023. The Toronto-Dominion Bank trades on the Toronto and New York stock exchanges under the symbol "TD".

TD Global Investment Solutions

TD Global Investment Solutions (TDGIS) is the global distribution identity of TD Bank Group's institutional asset management businesses, TD Asset Management Inc. (TDAM) and Epoch Investment Partners, Inc. (TD Epoch). Investment solutions are provided to corporations, pension plans, endowments and foundations, insurance companies, sovereign wealth funds, and superannuation, among others. The offering includes a broad selection of strategies and solutions including fundamental, fundamental free cash flow driven, quantitative and passive equities, fixed income across the credit quality spectrum and alternatives, such as private credit, infrastructure and real estate.

TDAM and TD Epoch use the services of Epoch Investment Partners UK, Ltd (TD Epoch UK), as permitted, to provide business development, marketing and distribution services as well as client relationship management services on behalf of TDAM and TD Epoch in the UK & Europe.

Job Details

Provide leadership to ensure the global compliance program that supports the asset management business aligns to the Regulatory Compliance Management program elements. The role will require working closely with a broad array of stakeholders in Compliance, Governance & Control, Legal and the business both in Europe, North America and Asia.

Accountabilities will include, but not be limited to:

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-today 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.

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.

Inclusiveness

At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected, and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live and serve and creating an environment where every employee has the opportunity to reach their potential.

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 investment we make in our colleagues to help them, and their families achieve their well-being goals. Total Rewards at TD includes a base salary and several other key plans such as health and well-being benefits, including medical coverage, paid time off, career development, and reward and recognition programs.

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.
 
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 

If you require an accommodation for the recruitment / interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.

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