TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. 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. The base pay actually offered may vary based upon the candidates skills and experience job-related knowledge geographic location and other specific business and organizational needs.
As a candidate you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.
Job Description:
1. Role Overview
The Manager Compliance Model and Data Governance is responsible for ensuring AI and data usage within TDS Compliance aligns with enterprise strategy and governance principles. The role also involves monitoring the performance of AI models and agents to ensure effective and sound addition the role will work closely with data scientists and data analysts within the Compliance Intelligence Unit as well as the broader TDS Compliance and Compliance Technology towards effective and timely implementation of the TDS Compliance AI and data strategy.
2. Department Context
The Global Compliance Department oversees regulatory compliance across TDBG in accordance with the Global Compliance Operating Framework. The department promotes regulatory compliance by developing and maintaining compliance programs identifying and disseminating regulatory developments to supported businesses maintaining Compliance policies managing complaints and regulatory filings providing relevant training carrying out independent monitoring and oversight activities reporting on the state of compliance to the Board UDP and senior management as needed and providing advice and support as required.
3. Role Scope
Work with the rest of the Compliance Intelligence Unit as a senior Compliance professional focused on data AI integration enterprise governance and program enhancement.
Ensure Compliance data accessibility and quality and adherence to enterprise data and AI usage standards.
Operate as a leader of change and a culture-carrier for excellence and continuous improvement across Compliance program enhancement activities.
Execute the role in support of a highly effective efficient focused embedded and sustainable surveillance program.
4. Functional Accountabilities
4.1 AI Advanced Analytics and Compliance Data
Monitor performance of AI models and agents.
Build and maintain business intelligence dashboards.
Evaluate AI usage within Compliance to ensure impact scalability safety and sustainability.
Define requirements for ingestion and integration of data in the Compliance Data Repository.
Define requirements for data quality across all data used in Compliance including completeness timeliness accuracy and lineage.
Ensure AI and data usage within Compliance adheres to enterprise standards and governance.
4.2 Program Enhancement and Regulatory Alignment
Lead reviews of the current program and work with Advisory Compliance Technology and first line of defense business and risk and control partners to enhance the program consistent with regulatory expectations.
Align program enhancement activities to expectations of relevant regulatory authorities including SEC CFTC Federal Reserve OCC Financial Conduct Authority MAS HKMA and UK PRA.
Support strategic focus and actively work with IT Communications Surveillance leadership and Trade Surveillance leadership to produce a highly effective efficient focused embedded and sustainable surveillance program.
Coordinate and participate in vendor and client roundtable forums and industry conferences or events focused on surveillance.
Support the documentation and enhancement of policies and procedures to ensure the program is documented and evidenced consistent with firm and regulatory requirements.
5. Shared Governance and Leadership Accountabilities
With business and other Risk partners promote a strong governance and control environment with periodic assessments against industry practices.
With Risk ensure the Bank operates within the compliance risk appetite and that operational risk from a Compliance standpoint is effectively mitigated assessed and managed.
Remain current on emerging risks trends and evolving regulatory requirements for Compliance and the QM and QAR teams.
Build a positive diverse and open work environment by continually improving efficiency sharing deep knowledge and skills and encouraging the team to deliver results.
Attract develop and retain talent and maintain an active talent pipeline.
Advance TDs leadership development colleague experience and diversity agenda.
6. Required Experience and Technical Competencies
6.1 Markets and Compliance Experience
Minimum of 5 years of bank/broker-dealer compliance or related experience or first line business risk and controls experience.
Strong product knowledge of equities options futures FX rates currencies and fixed income products.
Deep understanding of global market conduct and market abuse laws rules and regulations as well as compliance strategies and risk management methodologies for measuring monitoring and reporting conduct and market manipulation risk.
6.2 Data Quantitative and AI Competencies
Strong quantitative and data analysis skills.
Deep understanding of Compliance data requirements data quality tooling data quality reporting and governance.
Outstanding leadership and technical skills.
Creative creative and collaborative approach to change management.
6.3 Operating Model Experience
Demonstrated expertise in change management project management and surveillance operations including remediation ongoing monitoring of surveillance operations data defects and data remediation.
Demonstrated ability to execute project deliverables in a timely and high-quality manner.
Demonstrated ability to collaborate with diverse stakeholders and functions including first line business partners Risk Technology and Audit and to build effective working relationships with those stakeholders and constituents.
Who We Are:
TD is one of the worlds leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day we strive to make every interaction product and experience remarkably human and refreshingly simple for over 27 million households and businesses in Canada the United States and around the world. More than 95000 TD colleagues bring their skills talent and creativity to foster deeper relationships ensure disciplined execution and build a simpler faster banking experience. TD is deeply committed to being a leader in client experience that is why we believe that all colleagues no matter where they work are client facing. Together we are reimagining what banking can be for our clients colleagues and communities.
Our Total Rewards Package
Our Total 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. Total 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. Learn more
Additional Information:
Were delighted that youre considering building a career with TD. Through regular development conversations training programs and a competitive benefits plan were committed to providing the support our colleagues need to thrive both at work and at home.
Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations requirements.
Colleague Development
If youre interested in a specific career path or are looking to build certain skills we want to help you succeed. Youll 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 youre 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.
Were committed to your success and foster a respectful workplace where diverse perspectives are valued everyone has fair opportunities to grow and you can unlock your full potential to achieve your career goals. Here at TD we hire and develop the best.
Training & Onboarding
We will provide training and onboarding sessions to ensure that youve got everything you need to succeed in your current role.
Interview Process
Well 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
Your accessibility is significant to us. Please let us know if youd 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.
We look forward to hearing from you!
Language Requirement (Quebec only):
Sans Objet
Required Experience:
Manager
📌 Manager, Compliance – Model and Data Governance (Toronto)
🏢 TD Bank
📍 Toronto
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