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 Compliance Process Transformation Manager is responsible for supporting the modernization, refinement, and ongoing enhancement of the Wealth Compliance operating model, with a primary focus on the Tier 2 Surveillance program. Reporting to the Senior Compliance Business Oversight Manager, Tier 2 Surveillance, this role will lead and support initiatives designed to improve workflows, controls, documentation, evidencing, reporting, and overall operating effectiveness across Wealth Compliance, with a particular emphasis on Tier 2 Surveillance.

The successful candidate will work closely with Compliance, governance, business, technology, and control partners to assess current-state processes, identify opportunities for improvement, and implement practical and sustainable enhancements. This role is intended for a candidate with strong process improvement, change delivery, and stakeholder management capabilities, together with sound judgment in a regulated compliance environment.

Key Accountabilities

Customer

• Lead initiatives to modernize and refine Tier 2 Surveillance processes, workflows, and operating practices in support of the Wealth Compliance program.

• Review current-state surveillance processes to identify inefficiencies, duplicative steps, control gaps, and opportunities to improve consistency, quality, and execution, and support similar process reviews across other Wealth Compliance activities, as required.

• Design and implement practical process improvements that enhance surveillance effectiveness, evidencing, governance, and operational efficiency.

• Support the development, documentation, implementation, and maintenance of enhanced procedures, standards, templates, and workflow protocols, and where applicable, similar enhancements for other Wealth Compliance processes.

• Partner with surveillance teams and key stakeholders to understand operational pain points, execution challenges, and opportunities for process improvement across Wealth Compliance.

• Help strengthen escalation paths, review protocols, documentation practices, and quality assurance measures across the surveillance function, and across other Wealth Compliance processes, where appropriate.

• Contribute to the refinement of reporting, metrics, dashboards, and management information to support oversight, trend analysis, issue identification, and decision-making.

• Support the development of business requirements for technology enhancements, workflow tools, reporting improvements, and automation opportunities relevant to Tier 2 surveillance and other Wealth Compliance transformation initiatives, where applicable.

• Assist in implementing change initiatives, including stakeholder engagement, communications, training, rollout support, and post-implementation refinement.

• Maintain current knowledge of relevant regulatory requirements, compliance developments, and industry practices to support process enhancements that remain aligned with expectations.

• Participate in projects, working groups, and key deliverables relating to surveillance transformation, regulatory change, and continuous improvement across Wealth Compliance.

• Escalate significant risks, issues, dependencies, and implementation challenges to management in a timely manner.

Shareholder

• Assist in the development and enhancement of policies, procedures, standards, and governance documentation for Tier 2 Surveillance, and for other Wealth Compliance processes, as required.

• Support the implementation of programs, policies, and practices to ensure they are well managed, meet business needs, satisfy internal and external requirements, and align with business priorities.

• Promote strong process discipline, control design, and documentation standards across the surveillance function, and Wealth Compliance more broadly.

• Conduct analysis to support the identification, assessment, and mitigation of operational, compliance, and execution risks within surveillance processes, and other Wealth Compliance processes, where assigned.

• Support the preparation of management reporting, dashboards, presentations, and status updates for leadership and governance forums.

• Support internal reviews, assessments, and inquiries relating to surveillance processes, controls, documentation, and program effectiveness, and as needed, other Wealth Compliance process transformation initiatives.

• Conduct internal and external research on regulatory developments, industry practices, and emerging solutions relevant to surveillance modernization.

• Build and maintain strong relationships across Compliance, business, governance, technology, and control functions to support effective delivery of transformation priorities.

• Help ensure process changes are implemented in a manner that is sustainable, appropriately controlled, and aligned with risk appetite.

• Contribute to a culture of continuous improvement, accountability, and sound risk management.

Employee / Team

• Participate fully as a member of the Tier 2 Surveillance team and broader Compliance team, and support a positive, collaborative, and high-performing work environment.

• Provide thought leadership and practical guidance on process design, workflow optimization, implementation planning, and continuous improvement.

• Build and maintain productive working relationships with internal partners and stakeholders to support successful delivery of transformation initiatives.

• Support knowledge transfer and capability building within the team through documentation, best practices, and lessons learned.

• Keep management and partners informed of initiative status, implementation progress, emerging issues, and key decisions.

• Contribute to team effectiveness by helping coordinate work across multiple priorities and supporting disciplined execution.

• Foster an environment that supports innovation, collaboration, accountability, and continuous improvement.

• Support a fair, positive, and equitable environment that advances a diverse workforce.

• Act as a brand ambassador for the business area/function and the Bank, both internally and externally.

Breadth & Depth

• Acts as a seasoned professional with strong knowledge of compliance, risk and control principles, and process improvement within a regulated environment.

• Provides specialized support and guidance on the design, enhancement, and implementation of surveillance-related processes and operating procedures, and as required, other Wealth Compliance processes.

• Works independently on a range of process improvement and transformation initiatives of moderate to high complexity.

• Applies strong analytical and problem-solving skills to assess current-state processes, identify root causes, and develop practical, sustainable solutions.

• Supports the translation of strategic direction into actionable process enhancements, implementation plans, and improved operating practices.

• Exercises sound judgment in identifying issues, assessing impacts, and recommending appropriate solutions or escalations.

• Manages multiple priorities and stakeholders across functional areas in a dynamic and evolving environment.

• Contributes to the successful delivery of initiatives that may have broad operational, governance, or regulatory impact.

• Communicates effectively with Compliance, business, and control partners and is able to present process issues in a broader operational and risk context.

• Supports business and functional partners in the execution of change initiatives and ongoing process enhancements.

• Identifies and helps resolve complex project and program issues through effective collaboration and structured problem-solving.

• Reports to the Senior Compliance Business Oversight Manager, Tier 2 Surveillance.

Experience & Education

• Undergraduate degree.

• Relevant professional designations and/or certifications, as required or considered an asset.

• 7+ years of relevant experience in compliance, risk management, surveillance, business controls, process improvement, transformation, project delivery, or a related function.

• Experience in process mapping, workflow redesign, procedure enhancement, control improvement, and implementation of change in a regulated environment.

• Strong understanding of governance, risk, control, and documentation expectations within a compliance, risk, or oversight function.

• Experience working with cross-functional stakeholders, including Compliance, business, technology, governance, and control partners.

• Strong analytical, organizational, communication, and stakeholder management skills.

• Experience with reporting tools, workflow tools, case management platforms, automation initiatives, or compliance technology solutions is an asset.

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.

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

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.

If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.

We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.

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