UK CCO and local Head of COLA (Compliance, Legal, AML & Privacy) UK

Work Location :
London, United Kingdom

Hours:
35

Line of Business:
Compliance

Pay Details:

We're committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.

Job Description:

Reporting to the Regional Head of Europe (locally) and to the Global CCO, TD Securities (functionally),
the position has responsibility for the Compliance functions and local oversight of Legal, AML and Privacy
for the UK operations of TD Securities and TD Bank.
In London, Chief Compliance Officer (CCO), UK is responsible for second line oversight of all aspects of
FCA Business Standards compliance as described in the FCA Handbook, as applicable to the London
Branch and TD Bank Europe Limited. This includes ensuring the implementation and maintenance of
effective compliance programs, including policies, risk assessment activities, advising, training, and
monitoring/testing programs. The CCO is also responsible for escalating and reporting concerns to the
senior global Compliance Management, the regional Management Committee(s), Boards, Europe & Asia-
Pacific Supervisory Committee, and the regulator(s), as required.
The position:

• Provides compliance subject matter expertise through advice and guidance to the business and

holds the SMF 16 Senior Management Function (SMF) responsibility in the UK

• The position represents TD Bank in the industry through interactions with regulators and with

industry peers. The position requires proactively interacting with industry peers and
organizations to provide thought leadership to TD

• Maintains knowledge of industry trends and represents the Bank externally at appropriate

forums

• Influences and manages stakeholders including functional partners to understand when to

escalate

• Develops and maintains relationships with internal partners, jurisdictional regulators and with

TD's senior management team, ensuring a high, positive public profile for the organization

• Ensures TD Bank and TD Securities identifies and satisfies its regulatory obligations in the UK
• Oversees a compliance program in the UK which includes:

o provision of compliance advice to the business including; regulatory intake and
analysis, responding to ad hoc queries, provision of input to formal projects, new
products and business proposals, consideration of reputation risk matters, policy
updates, training and assessing regulatory change
o execution of risk-based compliance testing program including: formal risk assessment,
business review's thematic reviews and testing, and surveillance and logging,
escalation and ensuring resolution of relevant items
o execution of various core compliance processes including: regulatory liaison,
reporting registrations, licensing, gifts & entertainment, employee trading, conflicts,
projects and breaches
Internal

• Oversees, for local reporting purposes, the execution of a risk-based anti-money laundering and

ant-bribery program by the AVP, Global Anti-Money Laundering, holding the SMF 17
registration

• Oversees, for local reporting purposes, the provision of legal advice, and management of

external legal providers, by the Senior Counsel, UK

• Oversees, for local reporting purposes, the provision of data and personal privacy oversight and

advice by the EAP Data Privacy Officer

• Oversees the day-to-day management of the SMCR programme and ensures TD's ongoing

compliance with regulatory requirements in this regard

• Facilitates co-ordination between Legal, Anti-Money Laundering, Privacy and Compliance

teams in regional offices within the UK.

• Facilitates coordination with other internal control functions as required, e.g. Internal Audit and

Operations.

• The position requires expert human relations skills in working with other business units,

departments, industry groups and external organizations. The position must impart similar
skills to subordinates and provide an environment conducive to the generation of new ideas and
concepts. Personal development opportunities, motivation and direction are provided to
subordinates and the position appraises their performance in view of job requirements and
planned objectives.
Duties and Accountabilities
The position provides advice and counsel to senior management in the UK and COLA functional
leaders outside of Europe and ensure that matters are escalated to each in a timely and appropriate
fashion.
The position provides executive oversight and judgement to leaders who lead teams of
professionals which provide Legal, Compliance, Anti-Money Laundering, and Privacy support in the
UK.
The position provides coaching and feedback to direct reports to grow and develop the team and
build succession.
Individual responsibilities and time spent on compliance duties and local management of Legal, GAML,
and Privacy may change over time depending on business needs.

• Provide leadership, direction, advice and guidance to the team, thus maintaining high levels of

integrity, motivation and morale.

• Maintain staff competence by ensuring that staff skills or knowledge gaps are met with

appropriate training and development, so they are able to perform to their maximum capability
and fulfil their potential.

• Initiate actions to further improve your own and the team's skills and performance,

continuously look for opportunities for professional development.

• Demonstrate TD's Shared Commitments in all professional and personal activities.

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 deliver legendary customer experiences to 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 the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing - and so will you.

Our Total Rewards Package
Our Total Rewards package reflects the investment we make in our colleagues to help them, and their families achieve their well-being goals. Total Rewards at TD includes a base salary and several other key plans such as health and well-being benefits, including medical coverage, paid time off, career development, and reward and recognition programs.

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.

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. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals.

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

If you require an accommodation for the recruitment / interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.

Job ID R_1376437