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The Business Governance and Control team are the protectors of our businesses guided by the Three Lines of Defence Risk Framework: Risk Ownership, Risk Oversight, and Internal Audit. Our overall goal is to oversee the compliance of business risk, controls and oversight activities, while lending a critical voice as a consultant contributing towards a mutual goal. If you are excited to make your career where you can develop a deep knowledge of risk, governance and control issues, then join our team to drive the business forward and take your own career to new heights.
The Social Media Surveillance Office (SMSO) reports to the Manager, Business Surveillance, Social Media and Marketing for Wealth Shared Services. The SMSO is responsible for executing oversight on Social Media activities against regulatory and internal requirements for Wealth businesses across Canada. As a regulatory subject matter expert, the SMSO will leverage their expertise to provide support, guidance and surveillance analysis for client facing business partners. In addition, they are accountable for addressing regulatory and compliance related matters with respect to Social Media, with focus on requirements of the Investment Regulatory Organization of Canada (IIROC) and TD Brand Standards.
Accountabilities and objectives within this role include, but are not limited to:
Review and approve Social Media communications/posts/profiles of registrants who are using the Social Media Monitoring tool.
Perform Social Media spot checks for various Wealth businesses to ensure that they are complying with the TD Wealth Social Media Policy and are adhering to any specific guidelines for their specific line of business.
Exercise sound judgement and draw upon experience and regulatory knowledge in assessing materials as they may vary in nature, as well as by line of business.
Provide direction to Wealth employees and their managers as it relates to social media deficiencies; develop training and presentations as required.
Work closely with Wealth Compliance and other Subject Matter Experts to address questionable social media items.
Own findings or deficiencies identified in Social Media content arising from internal or external audits or risk issues.
Continuously develop/maintain strong knowledge of applicable regulatory and compliance requirements/developments/issues and ensure a strong understanding of the Wealth businesses being supported and the differences that may arise in completing social media reviews from one business to another.
Contribute to the achievement of strategies, tactics and training that support compliance/business objectives.
Contribute to the implementation and continuous improvement of reporting, programs, processes, policies and tools to meet or exceed regulatory requirements, industry best practices and /or achieve organizational goals.
Contribute to the success of the team and its vision by encouraging open communication, innovation, teamwork and a high degree of professionalism.
Contribute to a positive working environment.
Actively participate in the performance management process and meet professional/personal development objectives by utilizing maps and external courses as required.
Actively participate in regular meetings and coaching sessions
Provide guidance, support and coaching to other team members by sharing information, knowledge, expertise and lessons learned.
Successful completion of CSC and CPH would be considered an asset.
Successful completion of Branch Manager Course or Investment Dealer Supervisor Course would be considered an asset.
Compliance, legal, internal audit, fraud, regulatory risk management experience in the financial services sector and/or Wealth businesses being supported.
Two years of relevant experience working for an Investment Dealer or two years of relevant experience working for an entity governed by a recognized self-regulatory organization.
Sound working knowledge of IIROC, OSC and Provincial Securities Commission or other regulatory bodies rules/guidance as they pertain to Marketing.
Strong English reading/writing/editing skills.
Ability to work closely within a team environment to meet shared Service Level Agreement
Strong communication and interpersonal skills.
Highly motivated, results oriented individual, with a commitment to provide exceptional level of service.
Detail-oriented and proficient in managing a high volume of data.
Demonstrated ability to work efficiently, manage and prioritize multiple tasks, many with tight deadlines.
Strong ability to apply judgement in identifying potential issues or questionable items, from both a regulatory and internal policy perspective.
Developed problem solving skills, ability to identify trends and implications.
Strong organizational and time management skills.
Extensive experience and comfort level with Excel.
Proficiency with multiple Social Media platforms as well as MS Office and willingness to learn new internal platforms.
Ability to take initiative and apply sound judgement.
French and/or Cantonese/Mandarin language skills would be considered an asset
At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live and serve. 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.