Work Location:Toronto, Ontario, Canada
Hours:37.5
Line of Business:Compliance
Pay Details:$115,600 - $163,200 CAD
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 candidate's 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:Department OverviewThe TD Securities Inc. (TDSI) Compliance Department is responsible for the compliance strategy and oversight programs, including designing and implementing monitoring and supervisory programs for the firm. This is accomplished by:
- Conducting monitoring, testing and surveillance
- Providing training and education
- Liaising with regulators
- Promoting a compliance culture within the firm
- Taking preventative measures to ensure compliance with the rules and regulations
- Reviewing new business opportunities, such as new products or markets from a compliance perspective
Position SummaryThe Senior Manager, Compliance Testing Team Lead is responsible for leading a team of Compliance Testing professionals and providing strategic direction, regulatory expertise, and oversight of the Compliance Monitoring & Testing Program. This role partners closely with Compliance leadership and business stakeholders to execute a risk-based testing program, drive issue remediation, and support continuous enhancement of compliance risk management practices.
Job Description- Assist in the development, design, and execution of the annual Compliance Test Plan.
- Manage team of 4-5 testers.
- Provide strategic oversight of multiple testing engagements and testing resources, ensuring consistent execution, documentation quality, and application of testing methodology across reviews.
- Lead, coach, develop, and evaluate a team of Compliance Testing professionals, including talent management, performance management, and professional development activities.
- Oversee the design and execution of testing engagements, including review scoping, testing strategy development, fieldwork execution, issue identification, and reporting.
- Review and challenge testing approaches, workpaper quality, issue rationale, supporting evidence, and conclusions to ensure consistency, quality, and QA defensible outcomes for your team.
- Build and maintain strong relationships with business, Compliance, Risk, Legal, Audit, and other control function stakeholders, serving as a senior point of contact throughout the review lifecycle.
- Engage and drive discussion with stakeholders to exercise credible challenge.
- Communicate and agree to the acceptance of issues and assist in the development of the appropriate action plans.
- Oversee remediation and validation of issues identified in testing and monitoring activities.
- Work closely with key stakeholders to ensure timely closure of issues identified during testing.
- Identify areas for enhanced monitoring and testing.
- Partner with Data Analytics teams to enhance testing capabilities through analytics, automation, reporting, and AI-enabled solutions. And ensure we have the appropriate metrics and reporting for testing activities throughout our testing cycle.
- Participate in special projects as they arise to enhance Compliance functions.
Job RequirementsProficiency requirements and skills: - 10+ years of experience in Compliance, Risk Management, Internal Audit, Regulatory Oversight, or a related control function within a financial institution, investment dealer, regulatory authority, or self-regulatory organization.
- University degree required; JD, MBA, Master's degree, or relevant professional certifications are considered an asset.
- Strong understanding of Compliance Monitoring & Testing methodologies, risk assessments, control frameworks, issue management, regulatory change management, and remediation validation.
- Demonstrated experience leading, coaching, and developing high-performing teams, including talent development, and performance management.
- Deep knowledge of Canadian wholesale banking, capital markets, investment banking, global markets, trading, operations, and regulatory reporting activities.
- Extensive knowledge of applicable Canadian regulatory requirements and industry standards.
- Proven experience leading and executing risk-based compliance testing engagements, including planning, scoping, fieldwork, reporting, stakeholder engagement, issue identification, and remediation validation.
- Strong analytical, critical thinking, and problem-solving skills, with the ability to assess complex regulatory and business issues and develop practical, risk-based solutions.
- Exceptional relationship management and influencing skills, with the ability to provide effective challenge and build credibility with senior business leaders, Compliance, Risk, Legal, Audit, and other control partners.
- Demonstrated ability to advise senior management on regulatory, compliance, and risk-related matters while exercising sound judgment and strategic thinking.
- Strong project and program management capabilities, including the ability to manage multiple priorities, stakeholders, and deadlines in a dynamic, fast-paced environment.
- Experience leveraging data analytics, reporting tools, technology solutions, and AI-enabled capabilities to enhance monitoring, testing, and risk reporting activities.
- Exceptional written and verbal communication skills, including experience preparing executive-level reporting and presenting complex findings, themes, and recommendations to senior management and governance committees.
- Proven ability to collaborate effectively across business lines and functional areas to drive positive compliance and risk management outcomes.
- Advanced proficiency in Microsoft Office applications, including Excel, Word, PowerPoint, and AI-enabled productivity tools.
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 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 95,000 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 PackageOur 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 moreAdditional 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.
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 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.
We're 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 & OnboardingWe 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 Your accessibility is important to us. 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.
We look forward to hearing from you!
Language Requirement (Quebec only):Sans Objet
