Lead TDIS compliance and conduct risk in Toronto, applying securities regulation expertise, independent oversight, and effective challenge across Canadian Banking.
As AVP and Chief Compliance Officer, you will own assigned compliance strategy, risk assessment priorities, issue escalation, policy recommendations, and TDIS Board reporting. You will guide business leaders and corporate functions on regulatory relationships, remediation, risk acceptance, and corrective action priorities.
Key Responsibilities: Lead Canadian Banking Compliance and conduct risk programs
Assess controls through independent monitoring, testing, and risk indicators
Oversee branch reviews, trade surveillance, and Approved Person registrations
Lead regulatory change interpretation, training,
and implementation support
Report material matters to the TDIS Board and designated person
Requirements: University degree required; Law degree preferred
10+ years progressive financial services leadership experience
Robust securities regulation, mutual fund dealer, and CIRO knowledge
Eligibility to serve as Chief Compliance Officer
Executive communication, judgment, and people leadership skills
Bring compliance leadership, securities expertise, and constructive challenge to TD Investment Services in Toronto as Chief Compliance Officer.