AVP, Wealth and Insurance, Compliance Programs and Transformation

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Position Summary Reporting to the Vice President, Wealth and Insurance Compliance, the Assistant Vice President, Wealth & Insurance Compliance is a senior second line executive responsible for providing leadership and oversight of centralized Compliance programs, Regulatory Compliance Management (RCM) activities, and regulatory risk oversight across TD Wealth and TD Insurance businesses. The role is accountable for maintaining an effective, risk-based Compliance program that is aligned with the Enterprise Regulatory Compliance Management Framework, regulatory expectations, and TD's strategic priorities. Individual Role Accountabilities and Decision Authorities Accountabilities adhere to the TD Compliance Department Mandate and are executed in accordance with key Compliance Program elements and processes established within the Enterprise Regulatory Compliance Management Framework. Regulatory Compliance Management & Centralized Program Leadership Lead Wealth and Insurance Compliance oversight of centralized programs and second line functions, including Regulatory Compliance Management (RCM), Risk and Control Self-Assessments (RCSA/RCRA), Regulatory Change Management, Monitoring & Testing, Training, Governance, Issues Management, GRIC, Reporting, Data Management, and related enterprise initiatives. Oversee and manage regulatory risk across Wealth and Insurance businesses by providing executive ownership of Compliance assessments of the regulatory risk management environment and compliance program effectiveness. Lead the development, implementation, maintenance, and enhancement of Wealth and Insurance Compliance oversight programs to ensure ongoing alignment with Enterprise standards and evolving regulatory expectations. Lead and support execution of Compliance department strategic priorities, ensuring alignment of Wealth and Insurance Compliance programs with enterprise priorities, business objectives, and regulatory risk outcomes. Assess governance, procedures, controls, reporting, and supporting infrastructure that facilitate execution of the Enterprise RCM Framework and fulfillment of the Compliance mandate. Oversee the development, maintenance, implementation, and continuous improvement of Compliance policies, procedures, and program documentation, including applicable Compliance Manuals. Support annual Compliance self-assessments and RCM assessments that contribute to Chief Compliance Officer opinions and Enterprise reporting requirements. Support governance, reporting, and escalation through Compliance governance forums, including preparation of materials, insights, and recommendations on Compliance program effectiveness, regulatory risk themes, and emerging issues. Support regulatory exams processes and audit management Oversight of regulatory filings and reporting Maintain practices and procedures that effectively identify, assess, monitor, report, and manage regulatory compliance risks. Regulatory and Conduct Risk Oversight Provide independent oversight and challenge regarding regulatory compliance and conduct risk management across Wealth and Insurance businesses. Lead Compliance