Overview
Manager, Process Transformation Jobs in Toronto, Canada at TD
Position: Manager, Process Transformation (4890)
Overview
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 requires strong process improvement, change delivery, and stakeholder management capabilities, along with sound judgment in a regulated compliance environment.
Key Accountabilities
- 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.
- 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.
- Participate fully as a member of the Tier 2 Surveillance team and broader Compliance team, and support a positive, collaborative, and high-performing work…
Title: Manager, Process Transformation
Company: TD
Location: Toronto, Canada
Category:
