**Work Location:** Toronto, Ontario, Canada **Hours:** 37.5 **Line of Business:** Business Management, Strategy & Support **Pay Details:** $91,200 - $136,800 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 Overview:** TD Private Wealth Management takes a sophisticated and holistic goals discovery approach to wealth planning and protection to provide highly personalized advice, solutions, and service to clients. **Job Description:** Reporting into the Senior Manager, Business & Regulatory Solutions, the Manager, Business & Regulatory Solutions – PIA and PIC will support the Region Heads, Branch Managers and MCS's in their role executing activities and controls to effectively manage their regulatory, operational and reputational risk in the PIA and PIC businesses while ensuring national consistency of policies, procedures, projects and controls. + Primary business contact to enable the effective performance, execution and sustainment of regulatory activities and control procedures (e.g. RCM and pRCSA) that are the accountability of the Field, BM and RH + Lead training and adoption strategies for BM audience to facilitate field-level adoption and sustainable adherence to new Policies, Procedures and Initiatives designed to mitigate risk. + Where delegated and specified, act as the designated Registered Supervisor for producing BMs to meet CIRO regulatory requirements and to provide day-to-day BM oversight and approvals as it relates to the producing BMs' book of business. Includes acting as the Registered Supervisor as it relates to client complaints pertaining to producing BMs and in client complaints where allegations involve BM as determined by TD Wealth Compliance. + Together with LOB leaders, apply regulatory and business subject matter expertise to offer compliant recommendations to complex client and operational matters raised by the PIA and PIC businesses with support and guidance from appropriate internal partners including Legal, Compliance, HR, etc. + Support the Region Head and BMs in utilizing and reviewing automated monitoring results and control visualization tools in order to ensure they have proper line of sight on key areas of risk and regulatory compliance activities in their respective branches and region. + Operationalize and perform end-to-end risk-based approval processes for new or changing products, activities, processes and systems including providing Business exception approvals for OTC BB Pink Sheet Securities Pre-Approvals, Small Business Investment (SBI) approvals and Debt Repayment Summaries (DRS) depending on amount and repayment schedule, New Account Documentation and Non-Resident account exception recommendations and preparing the documentation for escalation to control partners where applicable. + Primary business contact for BMs and MCS's for escalating/addressing issues including, but not limited to, litigation/court summons requests, privacy related requests for information, etc. + Meet regularly with BMs and Region Head to assist in the execution of remediation action plans identified through control programs (e.g. RCM), testing and ad-hoc reviews, Issues Management and review of automated control monitoring and control visualization tools to resolve and remediate issues and gaps. **Job Requirements:** + 5+ years' experience in securities industry with knowledge of Private Wealth Management business + Registered, or ability to be registered as an IIROC Supervisory of RR's and Supervisor Options + Regulatory Compliance, Risk Management and/or Audit experience preferred + Field Experience in Wealth Management would be an asset + Ability to analyze, organize and prioritize work while meeting multiple deadlines + Strong written, oral and interpersonal skills + Strong business acumen and analytical capabilities + Strong presentation skills including the ability to consolidate information into clear and concise analysis as well as make meaning of data for presentations at the leadership level and in support of business decisions + Fluency with the financial aspects of business operations + Effective at managing multiple priorities and tasks at the same time + Ability to influence and motivate others + Excellent client service orientation and a professional approach; including ability to interact with all levels across the organization + Recognition of the appropriate balance between regulatory risk and obligations, and risk vs. reward opportunities **Additional Information:** **COLLABORATE WITH CONTROL PARTNERS:** + With escalation of risks and issues from Region Heads, BMs and field, including operational risk errors and issues through the initiation and/or completion of exception request templates and risk forms (e.g. OpERA) + Assist in the resolution/ remediation of findings from the Branch Manager oversight and monitoring programs as conducted and communicated by G&C + Provide insights on internal investigations and other conduct matters that are of regulatory interest as required. + In ad-hoc high-risk field remediations as required. + By identifying and escalating potential key process and control changes in the field / branches + Provide support on regulatory investigations and litigations as determined by internal partners including G&C, Legal, Compliance and Risk, including gathering of applicable files or data and coordinating the required communication. + Provide necessary support on Regulatory, G&C (1B) and Control Partner field audits and testing, including gathering of applicable files or data and coordinating the required communication. + Support the Business in monitoring, escalating, and reporting on risk profile to ensure Field activities are within TD's Risk Appetite and policies. **KEY LEADERSHIP BEHAVIOURS** + Providing ongoing guidance, advice and support to Branch Managers on regulatory, and risk matters as it relates to client activity and advisor conduct including "crisis" management. + Recognition of the appropriate balance between regulatory risk and obligations, and risk vs. reward opportunities + Make sound judgments and recommendations on the appropriateness of risk-based issues or problems based on defined policies and procedures. + Collaboration, Transparency, Agility, Accountability. **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 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 more (http://www.td.com/ca/en/about-td/who-we-are/benefits-of-working-at-td) **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. 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. 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** 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 Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.