Associate, Regulatory & Policy Governance - TD Asset Management

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

Job summary

TD Asset Management is seeking an Associate to join the Regulatory & Policy Governance group in Toronto. The role supports and leads regulatory, policy, control, training, and governance activities across Canada and the United States.

You will develop policies and controls, coordinate governance materials, and collaborate with Legal, Compliance, Risk, and business partners. A background in regulatory risk, governance, or internal controls along with 3–5 years in financial services is ideal.

Qualifications

• 3-5 years of relevant experience in financial services, including compliance, legal, internal audit, regulatory risk management, governance, policy, or controls.
• University degree or an equivalent combination of education and relevant experience; professional or industry qualifications are an asset.
• Experience interpreting regulatory and enterprise requirements and translating them into clear policies, procedures, controls, training, and practical business impacts.
• Strong policy and technical writing skills, with the ability to prepare clear, concise, and decision-useful materials for business partners and senior leaders.
• Experience coordinating governance processes, preparing committee materials and minutes, and tracking issues and action items.
• Strong analytical, organizational, and problem-solving skills, with sound judgment and close attention to detail.
• Ability to independently manage multiple priorities, coordinate deliverables across stakeholders, and meet deadlines in a fast-paced environment.
• Strong relationship-management and facilitation skills, with the ability to constructively challenge, influence, and collaborate with business and control partners.
• Proficiency with Microsoft 365 applications.

Responsibilities

• Develop, review, and maintain policies, procedures, and related documentation, coordinating stakeholder input, approvals, implementation, and recordkeeping.
• Develop and document regulatory controls in consultation with business stakeholders; map controls to applicable Canadian and U.S. regulatory requirements; and support implementation, evidence review, gap identification, and remediation.
• Support the Associate who leads the Regulatory Compliance Management (RCM) self-assessment process for TDAM and TD Epoch; assist with coordinating stakeholder input, challenging responses, and maintaining supporting evidence.
• Identify and assess regulatory compliance risks and control gaps arising from self-assessment work, elevate material matters, and support the development and timely completion of action plans.
• Perform regulatory change management activities, including materiality and business impact assessments, stakeholder coordination, documentation, escalation, and handoff of implementation requirements.
• Coordinate governance committee materials, prepare meeting minutes, and track issues, decisions, and action items through completion.
• 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.
• Support ad hoc projects and priority initiatives assigned by the Managing Director, North American RPG.

Skills

Policy writing

Regulatory knowledge

Governance coordination

Stakeholder collaboration

Microsoft 365

Education

University degree

Professional qualifications asset

Tools

Regulatory tools

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 will support and lead assigned regulatory, policy, control, training, and governance activities across Canada and the United States. The role requires strong writing and analytical skills, sound judgment in assessing regulatory and business impacts, the ability to coordinate work across stakeholders, and appropriate escalation of material issues.

Key Responsibilities

• Develop, review, and maintain policies, procedures, and related documentation, coordinating stakeholder input, approvals, implementation, and recordkeeping.
• Develop and document regulatory controls in consultation with business stakeholders; map controls to applicable Canadian and U.S. regulatory requirements; and support implementation, evidence review, gap identification, and remediation.
• Support the Associate who leads the Regulatory Compliance Management (RCM) self-assessment process for TDAM and TD Epoch; assist with coordinating stakeholder input, challenging responses, and maintaining supporting evidence.
• Identify and assess regulatory compliance risks and control gaps arising from self-assessment work, elevate material matters, and support the development and timely completion of action plans.
• Perform regulatory change management activities, including materiality and business impact assessments, stakeholder coordination, documentation, escalation, and handoff of implementation requirements.
• Coordinate governance committee materials, prepare meeting minutes, and track issues, decisions, and action items through completion.
• 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.
• Support ad hoc projects and priority initiatives 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 an equivalent combination of education and relevant experience; professional or industry qualifications are an asset.
• Experience interpreting regulatory and enterprise requirements and translating them into clear policies, procedures, controls, training, and practical business impacts.
• Strong policy and technical writing skills, with the ability to prepare clear, concise, and decision-useful materials for business partners and senior leaders.
• Experience coordinating governance processes, preparing committee materials and minutes, and tracking issues and action items.
• Strong analytical, organizational, and problem-solving skills, with sound judgment and close attention to detail.
• Ability to independently manage multiple priorities, coordinate deliverables across stakeholders, and meet deadlines in a fast-paced environment.
• Strong relationship-management and facilitation skills, with the ability to constructively challenge, influence, and collaborate with business and control partners.
• Proficiency with Microsoft 365 applications.

Other Accountabilities

• Be engaged in advancing and sustaining a unique, inclusive culture that reflects TD's diversity agenda, and creates an extraordinary employee experience.
• Participate fully as a member of the team and contribute to a positive work environment.
• Ensure ongoing communication with the team on the status/progress of projects, issues and other points of interest.
• Actively share information and knowledge and proactively learn from the expertise of others.
• Act as a subject-matter resource and promote consistent, effective execution of regulatory, policy, control, and governance activities.

Who We Are

TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we strive to make every interaction, product, and experience remarkably human and refreshingly simple for over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities.

Our Total Rewards Package

Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical, and mental well-being goals. Total Rewards at TD includes a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs. Learn more

Additional Information

We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

Colleague Development

If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.

If you're passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.

We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.

Training & Onboarding

We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.

Interview Process

We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation

Your accessibility is important to us. Please let us know if you'd like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you!

Language Requirement (Quebec only)

Sans Objet