CMC regulatory leader guiding biologics submissions and lifecycle compliance for Thermo Fisher Scientific. Managing FDA and Health Canada dossiers, changes, and post - approval reporting.
About the role
- Senior Manager leading TD’s independent compliance testing program for Wealth and Insurance banking businesses. Overseeing risk-based testing, executive reporting, regulatory challenge, and high-performing teams.
Responsibilities
- Lead the strategic delivery and continuous evolution of the independent Compliance Testing Program across the Wealth & TDAM portfolio
- Lead a team of Compliance Testing professionals delivering independent, risk-based testing
- Plan, execute and oversee complex Compliance Testing engagements
- Ensure testing is risk-based, outcome-focused, evidence-driven and aligned with priorities, regulatory expectations and emerging risks
- Provide independent challenge over testing scope, methodology, control effectiveness assessments, issue ratings, root cause analysis and remediation plans
- Develop and maintain expertise in Wealth & Insurance businesses, products, regulatory requirements and emerging compliance risks
- Identify emerging risk themes, control weaknesses and systemic issues through portfolio analysis and testing results
- Evaluate and improve testing methodologies, standards and operating practices
- Leverage data, reporting and analytics to strengthen testing insights and identify thematic risks
- Deliver concise, executive-ready reporting on testing outcomes, risk implications and recommended actions
- Build relationships with senior Compliance Officers, executives, business leaders, Enterprise Compliance, Audit, Risk Management and control partners
- Contribute to the strategic direction of the Compliance Testing Program
- Identify opportunities to simplify processes, improve efficiency and strengthen program effectiveness
- Lead or contribute to enterprise initiatives requiring Compliance Testing expertise
- Balance testing demand, resource capacity and portfolio priorities
- Escalate significant risks, systemic issues and emerging concerns
- Support annual portfolio planning and longer-term strategic initiatives
- Build, lead, coach, mentor and develop a high-performing team
- Recruit, develop and retain talent
- Promote collaboration, knowledge sharing and continuous learning
- Lead teams through changes in methodologies, technologies and business priorities
Requirements
- Undergraduate degree, Masters Degree or equivalent work experience
- Strong project management and organization skills
- Deep industry and business knowledge and expertise on risk and control functions
- 10+ years of progressive experience within Compliance Testing, Compliance, Risk Management, Audit or other independent oversight functions within a large financial institution
- Demonstrated experience leading complex Compliance Testing portfolios within a highly regulated environment
- Deep expertise in independent Compliance Testing methodologies, control design and operating effectiveness assessments, outcome-based testing and independent challenge principles
- Strong understanding of Wealth & Insurance products, regulatory obligations, compliance risks and control environments
- Proven ability to influence senior leaders and build trusted relationships across business and control functions
- Demonstrated success leading high-performing teams, developing leaders and driving organizational excellence
- Experience identifying and implementing continuous improvement initiatives
- Strong analytical, critical thinking and problem-solving skills
- Ability to assess complex issues, exercise sound judgement and make balanced risk-based decisions
- Excellent written and verbal communication skills
- Ability to communicate complex information clearly and effectively to executive audiences
Benefits
- Base salary
- Variable compensation
- Health and well-being benefits
- Savings and retirement programs
- Paid time off
- Banking benefits and discounts
- Career development
- Reward and recognition programs
- Regular development conversations
- Training programs
- Online learning platform
- Mentoring programs
- Training and onboarding sessions
- Accessibility accommodations during the interview process
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