Summary
Overview
Work History
Education
Skills
Accomplishments
KEY STRENGTHS
PROFESSIONAL DEVELOPMENT
Certification
Timeline
Generic

WENDY RAMKERRYSINGH

Mississauga,Canada

Summary

A transformational legal counsel, risk and compliance expert with over 20 years of experience in legal and financial services, demonstrating expertise in compliance, risk management, regulatory remediation, and capital markets

Overview

32
32
years of professional experience
1
1
Certification

Work History

Global Head, Managing Director & Vice President, TD Securities Governance & Controls

TD Bank Group
10.2021 - Current
  • Overseeing a team of 100+ risk professionals globally.
  • Board member for Canadian Dealer Legal Entity.
  • Responsible for the global management and oversight of all Compliance, Risk, and AML programs and requirements across capital markets, corporate investment banking, and global transaction banking.
  • Management of conduct programs, regulatory programs testing and monitoring of controls, issues tracking and remediation, risk assessments, operational loss event analysis, and remediation.
  • Oversight of Privacy obligations across the business.
  • Led CEO Committees on Reputational Risk, Controls and Strategic initiatives.

Associate Vice-President, Regulatory Risk

TD Bank Group
03.2019 - 10.2021
  • Oversaw a team responsible for managing, monitoring, and mitigating regulatory risk across the Bank.
  • Implemented the first Regulatory Risk Management program globally.
  • Developed and led a global senior executive Challenge Committee for regulatory findings.
  • Oversaw the relationship with the Bank's Prudential Regulator.
  • Advised Board members, CEO, and senior executives across the Bank on regulatory expectations and provided briefs for researched regulatory requirements applicable to the areas under review.
  • Represented the Bank during regulatory examinations and managed outcomes.
  • Led global regulatory forums to discuss key regulatory matters.
  • Presented analytical and status reporting on regulatory metrics for senior management and executives across TD.
  • Maintained positive relationships with business partners and regulators to ensure OSFI deliverables were met and that there were transparent and proactive communications.
  • Reviewed artifacts for Regulators to influence positive outcomes from regulatory reviews.

Associate Vice President, Compliance Governance & Assurance

TD Bank Group
01.2016 - 03.2019
  • Implemented key elements of the Compliance Governance and Assurance Program to enhance the effectiveness of the Compliance function and business line regulatory compliance management.
  • Significantly enhanced the enterprise Regulatory Compliance Program to align with regulatory requirements globally.
  • Implemented strategic and regulatory projects involving multiple stakeholders globally.
  • Analyzed and conducted research into regulatory requirements/laws/guidelines applicable to the Bank and incorporated them into Compliance methodology documents.
  • Developed the Chief Compliance Officer Opinion and Compliance reports for Senior Management and the Board.
  • Remediated significant regulatory findings resulting in positive feedback from regulators.
  • Successfully oversaw and delivered on all Compliance program elements, including risk assessment of the Bank’s compliance with regulatory requirements globally, governance and reporting processes.
  • Managed and monitored the Legal & Regulatory Compliance Risk Appetite Measures.
  • Developed and documented standards/procedures for all compliance and risk management programs.

Senior Manager, Regulatory Risk

TD Bank Group
05.2010 - 06.2013
  • Developed and implemented a Regulatory Management Program for all OSFI reviews across TD.
  • Developed the first Resolution and Recovery Plan for the Bank, which is still being leveraged today.
  • Ensured all regulatory deliverables were met in accordance with established standards and processes.
  • Maintained strong stakeholder relationships across the Bank.

Manager, Convergence, Finance Shared Services

TD Bank Group
12.2008 - 05.2010
  • Led operational strategies across enterprise control functions to increase the efficiency and effectiveness of governance and control-related activities.
  • Led strategic discussions with governance groups and businesses, to to ehance existing processes.
  • Instrumental in ensuring the successful implementation of a Findings Management database.

Manager, Legislative Compliance Management, Strategy & Standards, Compliance

TD Bank Group
01.2006 - 11.2008
  • Successfully managed the conduct of a Quality Assurance Review for the TD Waterhouse Compliance Department, involving meetings with senior business management and Compliance to determine whether Global Compliance Standards were being met. Managed the progress of regulatory examinations. Updated the Compliance mandate and the Global Compliance Manual.
  • Successfully managed and monitored the implementation of the first enterprise-wide framework for the management of regulatory risk through a Board-approved project globally.
  • Ensured project deliverables were met within aggressive timelines.
  • Successfully socialized the program across the enterprise and gained support from all areas of the Bank.
  • Developed and implemented the LCM project globally to all subsidiaries of the Bank.
  • Motivated and managed a team of consultants, Senior Compliance Officers, and Compliance Officers.

Policy Analyst, Policy & Advisory Group, Trading Room Risk Measurement

CIBC
01.2005 - 11.2005
  • Managed and monitored compliance of policies with internal, industry, regulatory, and statutory requirements for the trading room while aligning policies with business goals. Analyzed, drafted, implemented, and monitored complex market and risk management policies, procedures, and manuals for trading activities. Developed trading room policies and practices in accordance with the Basel II project.

Vice President, Legal & Regulatory Affairs

North West Regional Health Authority, Trinidad
01.2003 - 01.2004
  • Advised the CEO and the Chairman of the Board on all corporate governance, compliance, managed the litigation portfolio, and advised on legal matters (employment, medical negligence, and corporate law).

Corporate Secretary/Legal Adviser National Maintenance Training & Security Company Ltd., Trinidad
01.2000 - 01.2003
  • Managed and advised on all corporate governance, compliance, and legal matters.

Legal Officer Ministry of Agriculture, Land and Marine Resources
01.1996 - 01.2000
  • Represented the country in the negotiation of international contracts and ensured compliance with various international conventions, treaties, and environmental laws in the Caribbean and South America.

State Counsel Director of Public Prosecutions Office
01.1994 - 01.1996
  • Prosecuted criminal trials (indictable and summary offences) and complex murder and fraud cases.

Education

Admission to the Bar -

Law Society of Ontario
01.2021

NCA Accreditation - undefined

Federation of Law Societies Canada
01.2020

Master of Laws - Environmental Law

University of Wolverhampton
01.2001

Admission to the Bar - undefined

Supreme Court of Judicature of Trinidad and Tobago
01.1993

Bachelor of Laws (Hons) -

University of The West Indies
01.1991

Skills

  • Regulatory Risk, Compliance and Legal expert: Over 20 years experience in legal, financial service and capital markets
  • Global Team Leader: Focused on diversity and talent development
  • Transformational leader: Developed foundational and innovative programs
  • Stakeholder Management: Influences and enables change while fostering partnership and trust

Accomplishments

    Designed and implemented enterprise-wide innovative risk programs.

    Built and led large global teams.

    Executed 40+ risk programs for wholesale banking across multiple jurisdictions.

    Maintained strong relationships with key stakeholders and regulators across multiple regulatory regimes.

    Nominee for 2025 Canada's Most Powerful Women Top 100 Award.

    Mentor New to Canada professionals.

    Advocate for Animal Welfare.

KEY STRENGTHS

  • Legal, risk and compliance expert with over 20 years of experience across global regulatory regimes in legal and financial services, including capital markets.
  • Transformational and influential leader who enables change and fosters trust amongst stakeholders.
  • Decisive and inclusive leader who clearly communicates vision/strategic goals with a focus on talent.
  • Strong analytical skills and ability to multitask and prioritize multiple deliverables within aggressive timelines.

PROFESSIONAL DEVELOPMENT

  • Rotman School of Business, The Judy Project, May 2025
  • Co-presented on, “Taking a Holistic Approach to Convergence of Regulatory Compliance” at Canadian Institute Conference on Regulatory Compliance, Toronto, November 2009.
  • Delivered workshop on Compliance 101 at Canadian Institute Conference on Regulatory Compliance, Toronto, 2007 and 2008.
  • Advanced Training, Alternative Dispute Resolution, Stitt Feld Handy Group, Toronto 2000

Certification

  • Rotman School of Business: The Judy Project 2025·
  • Advanced Training, Alternative Dispute Resolution, Stitt Feld Handy Group, Toronto 2000
  • Co-presented on, “Taking a Holistic Approach to Convergence of Regulatory Compliance” at Canadian Institute Conference on Regulatory Compliance, Toronto, November 2009.
  • Delivered workshop on Compliance 101 at Canadian Institute Conference on Regulatory Compliance, Toronto, 2007 and 2008.
  • Board Director of TD Securities Inc. (Canada).

Timeline

Global Head, Managing Director & Vice President, TD Securities Governance & Controls

TD Bank Group
10.2021 - Current

Associate Vice-President, Regulatory Risk

TD Bank Group
03.2019 - 10.2021

Associate Vice President, Compliance Governance & Assurance

TD Bank Group
01.2016 - 03.2019

Senior Manager, Regulatory Risk

TD Bank Group
05.2010 - 06.2013

Manager, Convergence, Finance Shared Services

TD Bank Group
12.2008 - 05.2010

Manager, Legislative Compliance Management, Strategy & Standards, Compliance

TD Bank Group
01.2006 - 11.2008

Policy Analyst, Policy & Advisory Group, Trading Room Risk Measurement

CIBC
01.2005 - 11.2005

Vice President, Legal & Regulatory Affairs

North West Regional Health Authority, Trinidad
01.2003 - 01.2004

Corporate Secretary/Legal Adviser National Maintenance Training & Security Company Ltd., Trinidad
01.2000 - 01.2003

Legal Officer Ministry of Agriculture, Land and Marine Resources
01.1996 - 01.2000

State Counsel Director of Public Prosecutions Office
01.1994 - 01.1996

NCA Accreditation - undefined

Federation of Law Societies Canada

Master of Laws - Environmental Law

University of Wolverhampton

Admission to the Bar - undefined

Supreme Court of Judicature of Trinidad and Tobago

Admission to the Bar -

Law Society of Ontario

Bachelor of Laws (Hons) -

University of The West Indies
WENDY RAMKERRYSINGH