Associate, Regulatory & Policy Governance (RCM Function)

TD Bank; Toronto; On-site; CAD 82,000 - 115,000; Full time

Job summary

TD Asset Management (TDAM) in Toronto is seeking an Associate to join the Regulatory & Policy Governance group. You will lead and coordinate core Regulatory Compliance Management governance activities for TDAM and TD Epoch, assess regulatory impacts, work with stakeholders, and elevate material issues.

The role requires sound judgment, independence, strong written and verbal communication, and experience in regulatory risk management within financial services.

Qualifications

• 3–5 years of experience in financial services, including compliance, governance, or regulatory risk.
• University degree or equivalent; professional qualifications are an asset.
• Ability to translate regulatory requirements into practical controls and procedures.

Responsibilities

• Lead the annual RCM self-assessment process for TDAM and TD Epoch and coordinate inputs.
• Identify regulatory risks and gaps, escalates material issues, and supports action plans.
• Update RCM procedures to align with enterprise standards and assist in resource planning.
• Provide governance support for organizational changes and maintain regulatory inventories.
• Collaborate with the International RPG team to ensure program consistency.
• Perform change management activities, including impact assessments and documentation.
• Review risk assessments for regulatory control impacts and AI governance implications.
• Develop and maintain training content, courses, and communications.

Skills

Regulatory risk management

Compliance

Governance

Policy development

Stakeholder communication

Analytical skills

Education

University degree or equivalent

Job description

Work Location: Toronto, Ontario, Canada

Hours: 37.5

Line of Business: TD General

Pay Details: $81,600 - $115,200 CAD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

TD Asset Management (TDAM), a member of TD Bank Financial Group, is a leading North American investment manager offering progressive investment solutions to both institutional and individual investors. For over two decades, the organization has established competitive market positions in active, quantitative, and passive portfolio management. As of June 30 2026,, TDAM and its affiliates manage over $548 billion in assets on behalf of pension, insurance, endowment/foundation, and corporate clients, as well as high-net worth clients and retail mutual funds.

In attaining this client commitment, TDAM has built one of Canada's largest and most respected investment management and research teams with more than 220 Portfolio Managers, Associate Portfolio Managers, Traders and Analysts.

About the Role

The Associate will join the TDAM Regulatory & Policy Governance (RPG) group and report to the Managing Director, North American RPG. RPG forms part of TDAM's first line under TD's Three Lines of Defense risk model, providing oversight of controls and management of regulatory and operational risk exposures across the TDAM and TD Epoch businesses.

The Associate, RPG will lead and coordinate core Regulatory Compliance Management (RCM) governance activities for TDAM and TD Epoch. The role requires sound judgment to assess regulatory and business impacts, work independently across stakeholders, and elevate material issues appropriately.

Key Responsibilities

• Lead the annual RCM self-assessment process for TDAM and TD Epoch, including the Program Effectiveness, Compliance Effectiveness Review, and Inherent Risk Rating assessments; coordinate stakeholder input, challenge responses, and maintain supporting evidence.
• Identify and assess regulatory compliance risks and control gaps arising from the self-assessment process, escalating material issues, and support the development and timely completion of practical action plans.
• Review and update RCM procedure documents as needed to ensure alignment with applicable enterprise standards, and perform assigned activities set out in the RCM operating procedures, including supporting the Managing Director, North American RPG in preparing the annual RCM resource plan.
• Provide RCM governance support for business organizational changes, including updates and ongoing maintenance within the Canadian and US Global Regulatory Inventory & Control, and support the team in documenting regulatory controls in consultation with business stakeholders.
• Collaborate and share information with colleagues across the International RPG team to support the effectiveness and consistency of the overall RCM program from a global perspective.
• Perform regulatory change management activities, including materiality and business impact assessments, stakeholder coordination, documentation, escalation, and handoff of implementation requirements.
• Review Change Risk Assessments for potential impacts to regulatory controls and assess securities regulatory implications in support of AI governance.
• Develop, review, and maintain training content, courses, job aids, and related communications.
• Establish strong relationships and maintain an effective interaction model with business partners, Legal, Compliance, Risk, and other stakeholders across TDAM and TD Epoch.
• Perform policy updates and other ad hoc tasks, projects, and priority initiatives as assigned by the Managing Director, North American RPG.

Qualifications / Skills / Experience

• 3-5 years of relevant experience in financial services, including compliance, legal, internal audit, regulatory risk management, governance, policy, or controls. Asset management experience is an asset.
• University degree or equivalent combination of education and relevant experience; professional or industry qualifications are an asset.
• Experience assessing regulatory and enterprise requirements and translating them into practical business impacts, controls, procedures, and accountabilities.
• Excellent written and verbal communication skills, with the ability to prepare clear, concise materials for senior leaders.
• Strong analytical, organizational, and pro