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Work Location :

London, United Kingdom

Hours:

35

Line of Business:

Compliance

Pay Details:

We’re committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.

Job Description:

KEY ACCOUNTABILITIES

CUSTOMER

• Work with Compliance partners and other related groups (such as Legal and Risk) to support creation of documentation and reports required by external regulatory bodies and TD internal groups

• Lead development of team procedures and governance processes and advise the Compliance stakeholders and teams of changes and enhancements to enterprise Compliance programs and requirements and where they may impact in the organization.

• Provide governance oversight through management of the policy and training exemption governance and reporting processes to the Compliance Senior Executive Team (and related Compliance Sub-Committees)

• Assist Compliance team members in the use of Issues and Events system for tracking and reporting

• Prepare summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of the Compliance program

• Represent CGO as a specialist on internal or external committees as well as on enterprise-wide Regulatory Change Management initiative, as required

• Deliver relevant subject matter expertise and Compliance advice to business Compliance partners

• Interact with control functions within the organization

• Conduct meaningful research, analysis, and assessment of Compliance program activities at the functional level using results to draw conclusions, make recommendations, assess the effectiveness of enterprise Compliance programs

• Participate in / Manage regulatory examinations and external / internal audits with respect to request for information regarding CGO portfolio; reviewing, packaging and providing information for department executive

SHAREHOLDER

• Adhere to enterprise frameworks and methodologies that relate to activities for our business area

• Make sure respective programs/ policies/ practices are well managed, meets business needs, complies with internal and external requirements, and aligns with business priorities

• Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; escalate issues where appropriate

• Manage business operations to be in compliance with applicable internal and external requirements (e.g. financial controls, segregation of duties, transaction approvals and physical control of assets)

• Participate in cross-functional / enterprise / initiatives as a subject matter expert helping to identify risk / provide guidance for complex situations

• Conduct internal and external research projects; support the development/ delivery of presentations / communications to management or broader audience

• Conduct meaningful analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess the effectiveness of programs/ policies/ practices

• Monitor service, productivity and assess efficiency levels within own function and implement continuous process / performance improvements where opportunities exists

• Lead / facilitate and/or implement actions / remediation plans to address performance / risk /governance issues

• Actively manage relationships within and across various business lines, corporate and/or control functions and manage alignment with enterprise and/or regulatory requirements

• Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts

• Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite

EMPLOYEE / TEAM

• Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues/ points of interest

• Provide thought leadership and/ or industry knowledge for own area of expertise in own area and participate in knowledge transfer within the team and business unit

• Keep current on emerging trends/ developments and grow knowledge of the business, related tools and techniques

• Participate in personal performance management and development activities, including cross training within own team

• Keep others informed and up-to-date about the status / progress of projects and / or all relevant or useful information related to day-to-day activities

• Contribute to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices.

• Lead, motivate and develop relationships with internal and external business partners / stakeholders to develop productive working relationships.

• Act as a brand ambassador for your business area/function and the bank, both internally and/or externally

BREADTH & DEPTH

• Highly seasoned professional role requiring substantial knowledge / expertise in a complex field and knowledge of broader related areas

• Integrate knowledge of the enterprise sub-function’s or business line’s overarching strategy in developing solutions across multiple functions or operations

• Interprets internal/external business challenges and the industry environment, recommends course of action and best practices to improve products, processes or services

• Acts as a technical expert / lead integrating cross-function understanding within their own field of specialty; may manage team(s) of related specialists

• Leads cross-functional teams or projects with significant resource requirements, risk and / or complexity

• Independently manages end-to-end functional programs

• Solves or may lead others to solve complex problems; leads efforts or partners with others to develop new solutions

• Uses sophisticated analytical thought to exercise judgement and identify solutions

• Impacts the achievement of sub-function or business line objectives within the area they are accountable for

• Work is guided by policies and industry standards/methods

• Communicates difficult concepts; converts information to compelling business context and advice; influences and gains alignment across increasingly senior stakeholders

• Works autonomously as the lead and guides others within area of expertise

• Generally reports to a Senior Manager or above

EXPERIENCE & EDUCATION

• Undergraduate degree

• Relevant professional designations and/or certifications as required

• 7+ years relevant experience

Who We Are

TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals. As an organization, we keep growing – and so will you.

Our Total Rewards Package

Our Total Rewards package reflects the investment we make in our colleagues to help them, and their families achieve their well-being goals. Total Rewards at TD includes a base salary and several other key plans such as health and well-being benefits, including medical coverage, paid time off, career development, and reward and recognition programs.

Additional Information:

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.

Colleague Development

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.

Training & Onboarding

We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process

We’ll 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

If you require an accommodation for the recruitment / interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.

Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.