Compliance 96,900 - $136,800 CAD TD is committed to providing fair and equitable compensation opportunities to all colleagues. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. Lead and develop team(s) responsible for planning and overseeing independent Compliance testing.

Responsible for leading all phases of the assigned testing engagement. Provide guidance, leadership, coaching, and development to achieve desired operational results and qualified/personal development objectives for their team. CUSTOMER Manage teams of Compliance Testing analysts/ specialists in the execution of Compliance Testing engagements and validation of action plans in accordance with established standards Conduct skilled analytical research and analysis as part of testing engagement and initiatives Understand risk identification, risk analysis, and risk mitigation according to regulatory requirements and best business practices Oversee/lead the testing engagement, including communications and the reporting processes Provide subject matter expertise and/or input to projects/initiatives as a representative for area of specialization Effectively lead a team of Compliance Specialists to deliver quality results and meet assigned timelines Align the team to internal policies/procedures, enterprise frameworks and methodologies and applicable regulatory guidelines Protect the interests of the organization - identify and manage risks, and elevate non-standard, high-risk transactions/activities as necessary Actively manage relationships and work closely with management to provide guidance, expertise direction on compliance requirements to drive consistent compliant outcomes Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts to the Bank Maintain a culture of risk management and control,



supported by effective processes in alignment with risk appetite Responsible for management of the overall team providing both leadership and guidance Grow team expertise to align with business/enterprise demand and direction; provide on-going feedback and performance reviews, coach and develop employees and ensure performance management activities are undertaken and completed for all employees Lead the process of setting performance objectives for the team; track, monitor and effectively address and/or reward performance in a timely manner Manage employees in compliance with all human resources policies, procedures and guidelines of conduct Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required Lead and manages a team of specialists in executing Compliance Testing engagements for a TDBG business segment area Typically audit/controls orientation in the Securities market area overseeing Trade surveillance, exposure to tools such as Smarts and Trading Hub or equivalent.

Key contact for business management and dealing with non-routine information Focus is on short to mid-term planning (6 -12 months) Set operational team direction and collaborate with others to execute on common goals Oversee management of team requiring workforce to decision on acceptable level of risk- Moderate to High-risk potential (loss/reputational) for functional area Generally,



reports to a Senior Manager role Undergraduate degree or equivalent work experience ~Experience in audit/risk/compliance in Wealth Management TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Together, we are reimagining what banking can be for our clients, colleagues and communities.

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Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical, and mental well-being goals.

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Rewards at TD includes a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs. 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.

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. If you're passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.

Here at TD, we hire and develop the best. Training & Onboarding We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role. We do our best to communicate outcomes to all applicants by email or phone call.

Please let us know if you'd like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.

Language

Requirement (Quebec only)

📌 Manager, Compliance Testing Global QAR (5538) (Toronto)
🏢 TD
📍 Toronto