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Compliance Oversight Officer

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TD Bank

1mo ago

  • Job
    Full-time
    Senior Level
  • London

AI generated summary

  • You need deep regulatory knowledge, 7+ years in compliance, investment management expertise, strong analytical skills, and relevant degrees/certifications. JD/LLB preferred.
  • You will oversee compliance, assess regulatory controls, manage changes, maintain relationships with regulators, report non-compliance trends, and provide subject matter expertise on initiatives.

Requirements

  • Deep regulatory, industry and operational knowledge.
  • Experience in compliance or risk management programs, with preference for candidates who can demonstrate development of program elements and implementation regulatory change management.
  • Deep experience and understanding of investment management products and strategies.
  • Ability to assess compliance and other risks to prioritize issues and properly balance competing risks and priorities.
  • Registration as Compliance Oversight Officer for TD Epoch UK with local UK securities regulator.
  • Ability to manage large number of complex issues and priorities effectively at the same time, and juggle priorities as demands warrant.
  • Demonstrated ability to provide actionable advice to assist the business in achieving business goals in a compliant manner.
  • Ability to work collaboratively across multiple management teams.
  • Analytical and problem-solving skills, including the ability to elicit requirements from the business perspective, synthesize the information and articulate those requirements in a manner that can be easily understood.
  • Ability to articulate critical issues for escalation.
  • Solid research, investigative and organizational skills.
  • University or College degree and minimum of 7+ years relevant business, Compliance, Legal or risk management experience preferred.
  • Law degree (JD or LLB) preferred. Relevant training and industry certifications are desirable.
  • Undergraduate degree with a major/specialty in investment industry is an asset.

Responsibilities

  • As Compliance Oversight Officer for TD Epoch UK, assist the business in upholding a strong culture of compliance and provide independent oversight of compliance with applicable laws, regulations and guidelines using a risk-based approach.
  • Assess the adequacy of, adherence to, and effectiveness of day-to-day Regulatory Compliance Management controls, based on independent monitoring and testing conducted, active participation on committees and working groups and other data sources.
  • As determined by Compliance Senior Executive Team (CSET), assist in providing required information for the Compliance Department Self-Assessments which in turn support the TD Global CCO Opinion on RCM program effectiveness.
  • In support of the global compliance program, implement and maintain independent monitoring and testing.
  • Proactively manage regulatory change by supporting the identification, interpretation and assessing the impact of new regulatory requirements as well as assisting the business in implementation.
  • Working within the larger global compliance framework, maintain practices and procedures to communicate regulatory compliance requirements and standards to manage regulatory risks.
  • Develop and maintain robust relationships between Senior Business Management across TD and the Senior Compliance Leaders to facilitate strong relationship development and regular reporting.
  • Provide routine and regular reporting of actual or potential non-compliance including emerging trends and risks.
  • As Compliance Oversight Officer, act as key regulatory contact for local securities regulators with respect to TD Epoch UK and maintain positive, honest, transparent and constructive relationships with regulators.
  • Share early indications of significant regulatory issues that could materially impact earnings, result in regulatory sanctions or reputational risk with Business Segment leaders, Risk Partners and Compliance Management.
  • Provide subject matter expertise on projects and initiatives.

FAQs

What is the work location for the Compliance Oversight Officer position?

The work location for the Compliance Oversight Officer position is London, United Kingdom.

What are the working hours for this role?

The working hours for this role are 35 hours per week.

What line of business does this position fall under?

This position falls under the Compliance line of business.

How does TD support employee compensation queries?

TD encourages candidates to have an open dialogue with a member of the HR Team regarding compensation-related questions, including pay details for the role.

What are the primary responsibilities of the Compliance Oversight Officer?

The primary responsibilities include overseeing compliance with applicable laws, assessing the adequacy of regulatory compliance controls, managing regulatory changes, and maintaining strong relationships with business management and regulators.

What experience is required for this role?

Candidates should have a minimum of 7+ years of relevant business, compliance, legal, or risk management experience, preferably with a law degree (JD or LLB).

Are there specific regulatory knowledge requirements for candidates?

Yes, candidates should have deep regulatory, industry, and operational knowledge, particularly in investment management products and strategies.

What skills are essential for the Compliance Oversight Officer?

Essential skills include analytical and problem-solving abilities, the capacity to manage multiple complex issues, and strong communication skills to articulate critical compliance issues.

Is registration as a Compliance Oversight Officer required?

Yes, registration as a Compliance Oversight Officer for TD Epoch UK with the local UK securities regulator is required.

How does TD support employee development and career progression?

TD supports employee development through regular career conversations, access to an online learning platform, mentoring programs, and opportunities for skill enhancement and career advancement.

Will there be training provided for new hires?

Yes, TD will provide training and onboarding sessions to ensure new hires have everything they need to succeed in their roles.

How does TD approach inclusiveness in the workplace?

TD is committed to fostering an inclusive and accessible environment where all employees and customers feel valued and supported, aiming to reflect the diversity of their customers and communities.

What should candidates expect during the interview process?

Candidates can expect to be contacted for an interview if they are of interest, and TD strives to communicate outcomes to all applicants by email or phone call.

Can accommodations be requested during the recruitment process?

Yes, candidates can request accommodations for the recruitment/interview process, and TD will work with them to meet their needs.

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TD Bank

Finance
Industry
10,001+
Employees

Mission & Purpose

Headquartered in Toronto, Canada, the Toronto-Dominion Bank and its subsidiaries are collectively known as TD Bank Group (TD). TD had CDN$1.9 trillion in assets on July 31, 2023. TD also ranks among the world’s leading online financial services firms, with more than 16 million active online and mobile customers. TD offers a full range of financial products and services to over 27.5 million customers worldwide through four key business lines: - Canadian Personal and Commercial Banking including TD Canada Trust, Business Banking, and MBNA - U.S. Retail including TD Bank, America’s Most Convenient Bank, TD Auto Finance (U.S.), TD Wealth (U.S.) and TD’s investment in Schwab - Wealth Management & Insurance including TD Wealth (Canada), TD Direct Investing, and TD Insurance - Wholesale Banking including TD Securities and TD Cowen