Senior Manager - Global Compliance Quality Assurance Review (5344)

Work Location:

Toronto, Ontario, Canada

Hours:

37.5

Line of Business:

Compliance

Pay Details:

$115,600 - $163,200 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:

The Senior Manager, Global Quality Assurance Review is responsible for leading risk-based quality assurance review activities across TD’s global Compliance program, with a primary focus on wholesale businesses. The role provides independent, evidence-based assessment of the design, execution, and sustainability of compliance controls, supervisory practices, regulatory remediation, and issue management activities across Global Markets, Corporate and Investment Banking, and related wholesale business segments. This position requires deep understanding of wholesale banking products, capital markets activities, trade surveillance, market conduct, sales and trading supervision, regulatory expectations, and internal control frameworks. The successful candidate will bring strong audit or assurance experience, sound judgment, credible challenge, and the ability to engage effectively with senior stakeholders across Compliance, Internal Audit, Risk, Legal, and first-line control functions.

Key Responsibilities

Lead and execute Global Quality Assurance Review engagements across wholesale businesses, including Global Markets, Corporate and Investment Banking, and related regional and product-aligned compliance oversight activities.

Assess the quality and sustainability of compliance control execution across key wholesale risk areas, including market conduct, trade surveillance, supervisory controls, conflicts of interest, client activity oversight, information barriers, communications surveillance, and regulatory reporting.

Evaluate whether first-line and second-line processes are designed and operating effectively, supported by appropriate governance, procedures, evidence, monitoring, escalation, and documentation standards.

Apply audit and assurance methodology to define review scope, develop risk-based testing approaches, evaluate samples, review working papers, and ensure conclusions are accurate, evidence-based, and aligned with internal standards and regulatory expectations.

Provide credible challenge to Compliance, and issue owners on remediation design, implementation, and sustainability, particularly for regulatory, Internal Audit, self-identified, and high-risk wholesale business findings.

Support validation of remediation and closure packages by assessing whether corrective actions address root causes, are fully implemented, and can be sustained within day-to-day wholesale business operations.

Identify thematic risks, control weaknesses, process gaps, and emerging issues across wholesale business and translate observations into practical recommendations that strengthen compliance execution and oversight.

Prepare concise, executive-ready reporting on QA review results, key themes, risk implications, and recommended actions for senior management, governance forums, and other stakeholders.

Act as a trusted point of contact during QA engagements, facilitating walkthroughs, stakeholder discussions, evidence requests, issue validation, and alignment on preliminary results.

Coach and develop team members on wholesale business risks, QA methodology, testing quality, documentation standards, issue articulation, and regulatory interpretation.

Drive continuous improvement in Global Quality Assurance Review methodology, including more effective use of data, analytics, automation, and practical testing approaches tailored to wholesale business activities.

Qualifications and Experience

Extensive experience in internal audit, quality assurance, compliance testing, regulatory compliance, or risk management within financial services, with strong preference for experience supporting wholesale banking businesses.

Strong understanding of wholesale banking and capital markets activities, including sales and trading, Global Markets products, corporate and investment banking, transaction lifecycle risks, and associated compliance obligations.

Knowledge of key compliance risks relevant to securities and wholesale businesses, including market conduct, surveillance, supervisory controls, conflicts management, information barriers, client onboarding, suitability, communications, and regulatory reporting.

Demonstrated ability to assess design and operating effectiveness of controls, evaluate remediation sustainability, and provide constructive yet independent challenge to senior stakeholders.

Experience developing audit, QA, or testing plans; documenting evidence-based conclusions; articulating findings; and preparing senior management reporting in a highly regulated environment.

Strong analytical, risk assessment, and problem-solving skills, with the ability to synthesize complex wholesale business issues into clear, practical, and actionable insights.

Excellent written and verbal communication skills, including the ability to produce executive-ready materials and engage credibly with Compliance, Internal Audit, Risk, Legal, and first-line control partners.

Proven leadership, coaching, stakeholder management, and relationship-building capabilities across global teams and matrixed environments.

Bachelor’s degree in Business, Finance, Accounting, Economics, Law, or a related field; professional designation such as CPA, CIA, CAMS, CFA, FRM, or equivalent is an asset.

Core Competencies

Global quality assurance review leadership

Wholesale business and capital markets acumen

Regulatory compliance, market conduct, and trade surveillance knowledge

Risk-based testing and control effectiveness assessment

Issue validation, remediation sustainability, and root cause assessment

Credible challenge, sound judgment, and independent thinking

Executive communication and senior stakeholder influence

People leadership, coaching, and global collaboration

Continuous improvement, data analytics, and automation mindset

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 strive to make every interaction, product, and experience remarkably human and refreshingly simple for 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 foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities.

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