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manager, banking operations

Title posted on CareerBeacon - Senior Compliance Business Oversight Manager, Tier 2 Surveillance ()

Posted on June 22, 2025 by Employer details TD Bank

Job details

Work Location:Toronto, Ontario, CanadaHours:37.5Line of Business:CompliancePay Details:$108,800 - $163,200 CADTD 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:Key AccountabilitiesCustomerLead teams of risk management and compliance professionals performing tier 2 surveillance and associated activities, directly supporting the CCO in leading the Surveillance functionProvide strategic guidance to the TD Wealth Compliance Management Team, subsidiary CCOs, and their teamsDevelop a strong understanding within the team of the firm's environment and the analytic tools to available to help surface potential compliance issuesAct as an escalation point for issues arising out of compliance reviews and investigations. Take ownership of issues and work with the business towards satisfactory resolutions for all partiesContribute to the ongoing development of the team by sharing information, knowledge, expertise and lessons learned on a regular basis. Act as a thought leader for the teamEnsure high quality work, and development, maintenance and/or refinement of standards within the Surveillance areaLead the documentation and enhancement of policies and procedures to ensure the program is suitably documented and evidencedContinuously develop and maintain knowledge of applicable regulatory and compliance requirements, developments, and issuesSupport investigations on non-compliant matters and issues through verification of information, analysis, identification of issues, and escalation of questionable issuesIdentify and analyze risk and compliance issues; update, review and distribute reports as required; prepare and provide statistical and ad hoc reporting on various regulatory and compliance mattersParticipate in ongoing projects and project committees and key deliverables, providing guidance and support and ensuring the prompt and thorough resolution of issues, as requiredSupport the alignment of the program with other surveillance programs in TD Securities and TD Investment ServicesShareholderActively assist in developing and overseeing implementation of business line policies and Compliance Team proceduresOversee respective programs/policies/practices are well managed, meets business needs, complies with internal and external requirements, and aligns with business prioritiesConsistently exercise discretion in managing correspondence, information and all matters of confidentiality; escalate issues where appropriatePartner with the governance &amp; assurance function to develop annual awareness trainingConduct enterprise wide annual risk assessment for all TD businessesProtect the interests of the organization ? identify and manage risks, and promote the prompt and thorough resolution of escalated non-standard, high risk issuesConduct internal and external research projects; support the development/ delivery of presentations / communications to management or broader audienceActively manage relationships within and across various business lines, corporate and/or control functions and promote alignment with enterprise and/or regulatory requirementsKeep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impactsMaintain a culture of risk management and control, supported by effective processes in alignment with risk appetiteEmploye