Lead TDIS compliance and conduct risk in Toronto, applying securities regulation expertise, independent oversight, and effective challenge across Canadian Banking. As AVP and Chief Compliance Officer, you will own assigned compliance strategy, risk assessment priorities, issue escalation, policy recommendations, and TDIS Board reporting. You will guide business leaders and corporate functions on regulatory relationships, remediation, risk acceptance, and corrective action priorities. Key Responsibilities:
Lead Canadian Banking Compliance and conduct risk programs Assess controls through independent monitoring, testing, and risk indicators Oversee branch reviews, trade surveillance, and Approved Person registrations Lead regulatory change interpretation, training, and implementation support Report material matters to the TDIS Board and designated person Requirements:
University degree required; Law degree preferred 10+ years progressive financial services leadership experience Strong securities regulation, mutual fund dealer, and CIRO knowledge Eligibility to serve as Chief Compliance Officer Executive communication, judgment, and people leadership skills Bring compliance leadership, securities expertise, and constructive challenge to TD Investment Services in Toronto as Chief Compliance Officer.
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Associate Vice President Compliance Officer in Toronto employer: TD
TD Securities is an exceptional employer located in Toronto, Ontario, offering a dynamic work environment that prioritizes innovation and professional growth. With a strong commitment to employee development, competitive compensation, and a comprehensive benefits package, TD fosters a culture of collaboration and inclusivity, empowering colleagues to thrive both personally and professionally. Join a forward-thinking team where your contributions are valued, and you can make a meaningful impact in the capital markets sector.
