Description : The mandate of the TD Compliance Department is to manage compliance risk across TD globally to align with the policies established and approved by the TD Board of Directors' Audit and Risk Committees.
It is the Compliance Department's responsibility, as proactive and trusted advisors to Businesses, to drive a consistent, adaptable and effective culture across the organization so that compliance risks are appropriately mitigated.
Compliance Department responsibilities generally are to advise, monitor, and escalate.
Specific Responsibilities include but are not limited to: Manage the full life-cycle of compliance testing, from planning through to reporting, driving continuous improvement.
Develop the annual monitoring Determine scope of reviews; build detailed review steps; organize documentary evidence of review; Execute tests and write summary report to document exceptions and action plans; Participate in the compliance risk assessment exercise.
Assist on ad-hoc Compliance projects and initiatives; Build relationships with key stakeholders locally and globally.
Educational Requirements / Accreditations / Other Qualifications / Skills / Experience: Minimum of 5 years of demonstrated relevant experience in the industry.
Experience of testing and monitoring the design and effectiveness of business controls.
Strong understanding of wholesale capital markets.
Knowledgeable of regulations and industry best practices.
Problem solving skills and the ability to work independently.
Prioritizing to manage tasks efficiently and in a timely manner.
Strong oral and written communication skills.
Risk Management Responsibilities: Responsible for identifying and reporting Operational Risk Events in accordance with policy Responsible, along with all colleagues, to contribute in a positive way to TDGF's reputation and the management of Reputational Risk.
Every employee is expected and required to follow ethical practices at all times, including compliance with applicable policies, legislation and regulations and support positive interactions with TDGF's stakeholders including clients, industry bodies, industry participants, public bodies, regulators and vendors.
Responsible for good conduct and for contributing to the identification and management of Conduct Risk within their team and function Regulatory Requirements: You must observe proper standards of market conduct.
It is your responsibility to demonstrate that you take reasonable steps to be fully aware of, understand and comply with all regulatory requirements from all regulatory bodies that are applicable to your business.
You will promptly report to your supervisor(s) or manager(s) any instances in which you are aware of any violation or possible violation of such regulatory requirements by yourself or others.
In particular, as a Controlled Function for the purposes of the CBI's Fitness and Probity Regime ( F Act honestly, ethically and with integrity; and Be financially sound.
Central Bank of Ireland Conduct Standards In addition to the responsibilities set out in this job description, as well as TD's own policies and procedures (see below), you required to comply at all times with the CBI Conduct Standards.
The following Conduct Standards apply to you: Common Conduct Standards: Acting with Honesty and Integrity Acting with Due Care and Diligence Co-operating in Good Faith and Without Delay Acting in the Best Interests of Customers and Treating Them Fairly and Professionally Operating in Compliance with Standards of Market Conduct and Trading Venue Rules TD Policy Requirements: It is your responsibility to demonstrate that you are fully aware of and adhere to internal TD Policies that relate to you, your business or other businesses for which you have any level of responsibility.
It is your responsibility to read, understand and comply with TD's Code of Conduct and Ethics (Code) and corresponding regulations.
The Code establishes the standards that govern the way we deal with each other, our customers, shareholders, governments, regulators, suppliers, competitors, the media and the public at large.
You will be notified of changes to policies in a timely manner through announcements and/or intranet updates.
You must act with integrity and due skill, care and diligence in carrying out your duties.
Your actions should always be able to satisfy high standards of scrutiny.
Management should be kept fully informed at all times of all Regulatory and Compliance issues.
You must deal with TD Management, Compliance, regulators and all control functions in an open and cooperative way and must disclose appropriately any information which TD Management, Compliance, regulators or control functions would reasonably expect to know.
You must ensure that you are fully aware of your management reporting lines and escalation procedures 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