Td Bank Senior Manager Surveillance Initiatives Portfolio Management TD Securities Canada, Ontario, Toronto 394113720
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Key Responsibilities
Reporting: Assist with leading surveillance oversight /governance committees for Trade and Communications Surveillance; report on the status of surveillance remediation and modernization initiatives; and enhance and streamline TDS Surveillance's current reporting across regional committees and boards (e.g., surveillance metrics, operational issues, and related reporting). Provide the leadership team with relevant Management Information, reporting, and support to ensure surveillance operational issues (e.g. vendor issues and surveillance outages) are appropriately managed, addressed, tracked and reported on in governance.
Surveillance Portfolio Management: Work with the Head of Surveillance, DDI, technology and key stakeholders (e.g., Communications Surveillance Leads, Trade Surveillance Leads, and Chief Compliance Officers globally) to develop clear deliverables, milestone, and project plans for regulatory initiatives, new surveillance deployments, and surveillance enhancements.
Issues Management: Track and manage Regulatory and Audit Findings related to surveillance to ensure that such findings are properly and timely addressed (i.e., oversee progress of all internal and/or external audit issues relating to Surveillance with key stakeholders).
Read Across: Coordinate surveillance "read across" reviews of internal and external events, including root cause analysis, identification of themes and emerging risks,, process improvement. Timely reporting on findings and/or recommendations for enhancements, to the Global and Canada Head of Surveillance and Compliance senior management.
Surveillance Portfolio Management: Work with the Global and Canada Head of Surveillance, DDI, technology and key stakeholders (e.g., Communications Surveillance Leads, Trade Surveillance Leads, and Chief Compliance Officers globally) to develop clear deliverables, milestone, and project plans for remediation initiatives, new surveillance deployments, and surveillance enhancements.
Surveillance Procedures: Work with the Trade and Communications Surveillance leads in Canada, US, and other regions, to ensure that departmental surveillance procedures and timely and accurately updated.
Regulatory Responses: Work with key stakeholders with Surveillance and Compliance broadly to respond to regulatory inquires, requests for data, and exam inquiries as they relate to Surveillance.
Briefings and Presentations: Prepare summaries, presentations, briefing notes, and other required documentation to effectively report on the status of Surveillance to senior governance and Boards. As needed, report in senior governance on the Surveillance program.
Program Enhancements: Identify and recommend opportunities to enhance productivity, effectiveness, and operational efficiency across the Global TDS Surveillance function.
Tone at the Top: Work with the Surveillance and Compliance leadership Team to set the Compliance culture, people development, and training.
Talent: Attract, retain and develop a high performing team focused on implementing the above responsibilities
Key Shared Accountabilities
Set "tone at the top" in support of a strong risk & compliance culture within Compliance and across the enterprise.
With business and other Risk partners promote a strong governance & control environment with periodic assessments against industry practices
With Risk, ensure that the Bank operates within the compliance risk appetite and that operational risk from a Compliance standpoint is being effectively mitigated, assessed, and managed.
Keeps current on emerging risks, trends and evolving regulatory requirements for Compliance
Builds positive, diverse, and open work environment by continually improving the efficiency, sharing deep knowledge and skills, and encouraging the team to deliver results.
Attracts, develops, retains talent, and maintains an active talent pipeline.
Job Requirements
University degree required: MBA, JD, CFA or other Compliance certifications an asset.
7-10 years of relevant industry and management experience in Compliance and Surveillance.
Experience managing complex regulatory remediation.
Familiarity with regulations and compliance strategies and risk management; possesses and demonstrates expertise in the surveillance, change management, project management and operations.
People leadership and management experience focused on talent development and coaching to nurture a high performing team
Highest personal and professional integrity and standards to advance TD's vision and protect the brand
Strong verbal and written communication skills, including publicspeaking/presentationskills and well developed listening and negotiation skills
Ability to work in a fast-paced environment and manage multiple priorities
Ability to operate in an evolving, sometimes ambiguous, matrixed environment.
Strategic thinker and excellent judgement;
Demonstrates ability delivering on project and departmental issues.
Demonstrated ability to identify regulatory risks and issues, and to propose practical solutions to mitigate risk, as it relates to compliance surveillance.
Demonstrated ability to work across teams globally and to build effective working relationships across diverse stakeholder.
Transparent communicator and respected TD representative, both internally and externally.
Models TD's executive leadership profile: skilled leader, high confidence, low ego, inspiring to professionals, operates through influence, motivates and developments leadership teams.
Advances TD's leadership development, colleague experience and diversity initiatives,
Possesses an advanced level of financial and strategic acumen to provide insight on strategy development and execute effectively on a broad range of key business management activities.
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.
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.
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.
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