Summary
Overview
Work History
Education
Skills
Philanthropy
Timeline
Generic

Lindsay Pitfield

Toronto

Summary

Insightful Compliance and Risk Management expert with experience directing and improving operations through effective and strong policy enforcement. Proficient in best practices, market trends and regulatory requirements. Talented leader with analytical approach to risk based efficiency, in day-to-day problem-solving. Seeking strategic role in compliance leadership.

Overview

2027
2027
years of professional experience

Work History

Manager, Compliance Business Oversight | Wealth Compliance

TD Bank
2025 - Current
  • Deliver expert compliance advice and guidance to TD Insurance and TD Private Banking, enhancing regulatory adherence.
  • Strengthen compliance controls and processes to effectively mitigate risks associated with financial, regulatory, and risk management frameworks.
  • Architect and implement innovative Compliance programs aligned with current laws, driving regulatory efficiency.
  • Evaluate Line of Business requirements and craft policy recommendations that meet regulatory standards such as FSRA and AMF.

Manager, RMP

TD Wealth G&C
2023 - 2025
  • Spearheaded RMP Risk Marketplace Regulatory initiatives, supporting all regulatory aspects for the Advice business and Operations.
  • Directed the review and approval process for governance artifacts and assessments within the RMP change framework.
  • Led the Regulatory Pod, efficiently resolving ad-hoc issues and business requests under tight deadlines.
  • Cultivated a culture of innovation and strategic solutions, resulting in enhanced productivity and process improvements.
  • Partnered with senior management on audit and regulatory reporting, earning recognition and a nomination for the Star Award in Q3 2024 for the Trade Date + 1 project.

Surveillance Analyst

TD Wealth G&C
2016 - 2023
  • Managed comprehensive T+1 Trade Surveillance for Private Investment Advice (PIA) and oversaw monthly reporting for high AUM branches.
  • Served as the primary compliance advisor for branch management teams, providing insights on findings, trends, and compliance solutions.
  • Supplied critical evidence and support for internal audits and collaborated extensively on Monthly Reporting.
  • Engaged in testing and implementation for large-scale compliance initiatives, ensuring seamless integration.

Branch Surveillance Officer | PIA

TD Wealth
2014 - 2016
  • Functioned as a key member of the management team in the largest PIA branch, serving as the in-house compliance expert.
  • Executed T+1 trade blotters and conducted thorough reviews of monthly reports for over 60 advisors.
  • Orchestrated the integration of CRM systems within the branch, facilitating evidence analysis for book audits with auditors and in-house counsel.
  • Led monthly meetings to communicate regulatory and compliance updates to staff, ensuring alignment and adherence.

Branch Administrator

Scotia McLeod
2013 - 2014

Branch Administrator

Sprott Private Wealth
2012 - 2013

Education

CSI, CPH, BMC

Canadian Securities Institute
2014

Law

University of Liverpool
Grand Cayman, Cayman Islands
2007

Bachelor of Arts - undefined

University of Guelph
01-2004

Skills

  • Risk Management
  • Risk Analysis
  • Compliance
  • Privacy Designate
  • Regulatory Affairs
  • Relationship Management
  • Advisory
  • Stakeholder Engagement
  • Strategic Planning
  • Solution focused
  • Prioritize efficiency

Philanthropy

  • Co-Chair, RISE & THRIVE Charity Gala, 2025-04-01
  • Member, TD G&G Social Committee, 2025-01-01
  • Board Member, Maurice Cody Childcare, 2023-01-01

Timeline

Bachelor of Arts - undefined

University of Guelph

Manager, Compliance Business Oversight | Wealth Compliance

TD Bank
2025 - Current

Manager, RMP

TD Wealth G&C
2023 - 2025

Surveillance Analyst

TD Wealth G&C
2016 - 2023

Branch Surveillance Officer | PIA

TD Wealth
2014 - 2016

Branch Administrator

Scotia McLeod
2013 - 2014

Branch Administrator

Sprott Private Wealth
2012 - 2013

CSI, CPH, BMC

Canadian Securities Institute

Law

University of Liverpool
Lindsay Pitfield