Work Location:

Toronto, Ontario, Canada

Hours:

37.5

Line of Business:

Compliance

Pay Details:

$115,600 - $163,200 CAD

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The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

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The Senior Manager, Global Quality Assurance Review is responsible for leading risk-based quality assurance review activities across TD's global Compliance program, with a primary focus on wholesale businesses. The role provides independent, evidence-based assessment of the design, execution, and sustainability of compliance controls, supervisory practices, regulatory remediation, and issue management activities across Global Markets, Corporate and Investment Banking, and related wholesale business segments. This position requires deep understanding of wholesale banking products, capital markets activities, trade surveillance, market conduct, sales and trading supervision, regulatory expectations, and internal control frameworks. The successful candidate will bring strong audit or assurance experience, sound judgment, credible challenge, and the ability to engage effectively with senior stakeholders across Compliance, Internal Audit, Risk, Legal, and first-line control functions.





Key Responsibilities

- Lead and execute Global Quality Assurance Review engagements across wholesale businesses, including Global Markets, Corporate and Investment Banking, and related regional and product-aligned compliance oversight activities.
- Assess the quality and sustainability of compliance control execution across key wholesale risk areas, including market conduct, trade surveillance, supervisory controls, conflicts of interest, client activity oversight, information barriers, communications surveillance, and regulatory reporting.
- Evaluate whether first-line and second-line processes are designed and operating effectively, supported by appropriate governance, procedures, evidence, monitoring, escalation, and documentation standards.
- Apply audit and assurance methodology to define review scope, develop risk-based testing approaches, evaluate samples, review working papers, and ensure conclusions are accurate, evidence-based, and aligned with internal standards and regulatory expectations.
- Provide credible challenge to Compliance, and issue owners on remediation design, implementation, and sustainability, particularly for regulatory, Internal Audit, self-identified, and high-risk wholesale business findings.
- Support validation of remediation and closure packages by assessing whether corrective actions address root causes, are fully implemented,



and can be sustained within day-to-day wholesale business operations.
- Identify thematic risks, control weaknesses, process gaps, and emerging issues across wholesale business and translate observations into practical recommendations that strengthen compliance execution and oversight.
- Prepare concise, executive-ready reporting on QA review results, key themes, risk implications, and recommended actions for senior management, governance forums, and other stakeholders.
- Act as a trusted point of contact during QA engagements, facilitating walkthroughs, stakeholder discussions, evidence requests, issue validation, and alignment on preliminary results.
- Coach and develop team members on wholesale business risks, QA methodology, testing quality, documentation standards, issue articulation, and regulatory interpretation.
- Drive continuous improvement in Global Quality Assurance Review methodology, including more effective use of data, analytics, automation, and practical testing approaches tailored to wholesale business activities.

Qualifications and Experience

- Extensive experience in internal audit, quality assurance, compliance testing, regulatory compliance, or risk management within financial services, with strong preference for experience supporting wholesale banking businesses.
- Solid understanding of wholesale banking and capital markets activities, including sales and trading, Global Markets products, corporate and investment banking, transaction lifecycle risks, and associated compliance obligations.
- Knowledge of key compliance risks relevant to securities and wholesale businesses, including market conduct, surveillance, supervisory controls, conflicts management, information barriers, client onboarding, suitability, communications, and re

📌 Senior Manager - Global Compliance Quality Assurance Review (5344) (Toronto)
🏢 TD Bank
📍 Toronto