Manager, Compliance Governance & Operations (5664)

Work Location:

Toronto, Ontario, Canada

Hours:

37.5

Line of Business:

Compliance

Pay Details:

$96,900 - $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:

Job Description

The Global Compliance Surveillance Department is responsible for overseeing regulatory compliance across TDS in accordance with the Global Compliance Operating Framework. The team is accountable for promoting regulatory compliance by developing and maintaining comprehensive Trade and Communications Surveillance programs, including identifying emerging risks and regulatory developments related to surveillance, maintaining Compliance Surveillance departmental procedures, providing relevant training for Surveillance, conducting quality assurance of alert disposition, reporting on the state of the Surveillance program to the Board, senior management, and regulators, as needed, and providing effective check and challenge.

Reporting to the Head of Surveillance Initiatives and Portfolio Management, the Manager will serve as a team and workstream lead for the delivery and ongoing management of the Trade and Communications Surveillance portfolio. The role will drive strategic initiatives and remediation activities, oversee governance reporting, manage key milestones and risks, and coordinate work across Surveillance, Compliance, Technology, and senior stakeholders to support effective and well-governed surveillance programs.

The Manager will independently lead surveillance initiatives and workstreams, provide subject matter expertise, drive execution across stakeholders, and escalate material risks and issues to senior management.

Key Accountabilities

Shareholders

• •Reporting: Lead surveillance oversight and governance reporting, including management information, key metrics, program status, material risks, vendor incidents, and surveillance outages. Present clear and timely updates to senior management and governance forums.
• •Surveillance Portfolio Management: Lead portfolio delivery in partnership with the Head of Surveillance Initiatives and Portfolio Management, Technology, Trade and Communications Surveillance Leads, Chief Compliance Officers, and other stakeholders. Develop and manage deliverables, milestones, dependencies, risks, and project plans for regulatory initiatives, remediation activities, new surveillance deployments, and program enhancements.
• •Issues Management: Lead the management and oversight of regulatory and audit remediation activities, including establishing plans, monitoring progress, challenging execution, validating supporting evidence, escalating risks or delays, and driving timely and sustainable closure.
• •Read-Across Reviews: Lead assessments of relevant internal and external events, including root-cause analysis, identification of themes and emerging risks, evaluation of potential program impacts, and development of recommendations for senior management.
• •Surveillance Procedures: Oversee and challenge the review and timely maintenance of Trade and Communications Surveillance procedures, ensuring they remain accurate, complete, and aligned with regulatory and program requirements.
• •Regulatory Responses: Lead the coordination and preparation of responses to regulatory inquiries, data requests, and examinations related to Trade and Communications Surveillance. Ensure submissions are accurate, complete, timely, and supported by
• •Briefings and Presentations: Lead the development of executive summaries, presentations, briefing notes, and other materials for senior governance, Board, and regulatory discussions, and present program updates as required.
• •Program Enhancements: Identify, prioritize, and lead enhancements that improve the effectiveness, efficiency, governance, and sustainability of the Global TDS Surveillance function.

Stakeholders

Build and maintain strong cross-functional relationships across the business, Compliance, Risk, Technology, and other functions to influence outcomes and lead stakeholders toward shared priorities and an effective governance and control environment.

Employee/Team

• •Demonstrate leadership and strong risk judgment, reinforcing a culture of compliance, integrity, accountability, and effective challenge.
• •Set clear expectations, drive high-quality and timely execution, and escalate material compliance, operational, or delivery risks to senior management.
• •Maintain deep awareness of emerging risks, industry practices, and evolving regulatory requirements, and assess their implications for Compliance and Surveillance.
• •Promote a positive and inclusive work environment through team leadership, peer coaching, knowledge sharing, and continuous improvement.

Depth & Scope:

• •Operates independently with broad discretion to lead complex, high-impact initiatives and manage multiple workstreams across the surveillance portfolio.
• •Serves as a subject matter expert in Trade and Communications Surveillance requirements, systems, processes, governance, and controls.
• •Engages directly with senior management, regulators, and internal and external auditors, providing clear advice, effective challenge, and well-supported responses.
• •Develops and executes strategic and operational plans across short-, mid-, and long-range time horizons.
• •Leads regulatory reviews, audits, and examinations, including response strategy, stakeholder coordination, issue resolution, and management of commitments.

Education & Experience:

• •7+ years of relevant experience in Compliance, Surveillance, Risk, Operations, Technology, project or program management; significant Trade or Communications Surveillance experience at a financial institution is preferred.
• •Demonstrated experience leading complex projects, regulatory remediation, or control transformation initiatives related to Trade or Communications Surveillance in a regulated environment.
• •Deep knowledge of compliance, risk management, surveillance, change management, program management, and operational control frameworks.
• •Proven ability to lead across multiple stakeholders, manage competing priorities, influence senior decision-makers, and deliver complex initiatives in a global matrixed organization.
• •Highest personal and professional integrity and standards to advance TD's vision and protect the brand.
• •Exceptional written and verbal communication skills, with the ability to prepare and deliver clear, concise, and persuasive materials for executives, Boards, regulators, and other senior stakeholders.
• •Ability to operate effectively in a fast-paced environment, set priorities, and lead multiple complex initiatives simultaneously.
• •Ability to operate in an evolving, sometimes ambiguous, matrixed environment.
• •Strong executive judgment, strategic thinking, and a practical, risk-based approach to complex problem-solving.
• •Ability to identify and assess material risks, lead root-cause analysis, and develop practical recommendations and options for senior management.
• •Demonstrated ability to lead across global teams, build strong relationships, and influence diverse stakeholders without direct authority.
• •Confident and transparent executive communicator who represents TD effectively with internal and external stakeholders.
• •Advanced financial, business, regulatory, and strategic acum