Manager, Business Compliance Oversight, Global Asset Management (3459)

TD Bank; Toronto; Hybrid; CAD 91,000 - 137,000; Full time

Job summary

TD Bank seeks a Manager for Business Compliance Oversight in Toronto to lead compliance efforts in asset management. The role involves developing policies, collaborating with various teams across regions, and ensuring compliance with regulations. Candidates must possess strong analytical skills, a relevant degree, and a minimum of 7 years of experience in compliance or risk management.

Qualifications

• Advanced knowledge of regulatory requirements for asset management.
• 7+ years of compliance, legal, or risk management experience.
• Experience in investment management products and strategies.

Responsibilities

• Lead the compliance program for the asset management business.
• Develop and maintain compliance policies and procedures.
• Ensure alignment with key compliance policies for international applications.

Skills

Analytical skills

Problem-solving skills

Collaboration

Communication

Education

University or College degree

Law degree (JD/LLB)

Job description

Manager, Business Compliance Oversight, Global Asset Management (3459) page is loaded

Manager, Business Compliance Oversight, Global Asset Management (3459)

Apply remote type Hybrid locations Toronto, Ontario time type Full time posted on Posted 2 Days Ago time left to apply End Date: July 11, 2025 (14 days left to apply) job requisition id R_1428369

Work Location:

Toronto, Ontario, Canada

Hours:

37.5

Line of Business:

Compliance

Pay Details:

$91,200 - $136,800 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:

Department Overview

The TD Wealth Compliance Department provides compliance advisory and second line oversight of the Wealth businesses. Key functions within the unit include the Chief Compliance Officers and their teams for each business line, Surveillance, Regulatory Investigations & Client Complaint Resolution, marketing reviews, regulatory change management and registrations. A multi-disciplinary team of compliance professionals supports these activities. Given the range of businesses supported, and the breadth of applicable regulations, the day-to-day work of the group is both interesting and complex, requiring compliance and wealth management subject matter expertise.

Job Details

Provide leadership to ensure the global compliance program that supports the asset management business aligns to the Regulatory Compliance Management program elements. The role will require working closely with a broad array of stakeholders in Compliance, Governance & Control, Legal and the business both in Europe, North America and Asia.

Accountabilities will include, but not be limited to:

• Provide support for the global regulatory compliance management program (RCM).

• Develop and maintain compliance owned materials (policies, procedures, playbooks).

• Review of marketing materials and other communications for international clients/prospects.

• Assist in aligning key Compliance policies for the asset management business to enable expanding them for international applicability.

• Be a subject matter expert on sustainable investing for the asset management business.

• Build and maintain effective working relationships within Compliance and across the Wealth businesses.

• Create and maintain resource and training materials.

• Take the lead on and provide subject matter expertise on a variety of projects, initiatives, and other ad-hoc requests, as assigned.

Job Requirements

• Advanced knowledge of the applicable regulatory and internal requirements for the asset management business.

• Experience in compliance or risk management programs and in particular experience and understanding of investment management products and strategies.

• Ability to assess compliance and other risks to prioritize issues and properly balance competing risks and priorities.

• Demonstrated ability to provide actionable advice to assist the business in achieving business goals in a compliant manner.

• Ability to work collaboratively across multiple management teams.

• Strong analytical and problem-solving skills.

• Ability to articulate critical issues for escalation.

• Solid research, investigative and organizational skills.

Specific Educational Requirements / Accreditations

• University or College degree. Law degree (JD/LLB) and/or undergrad degree specializing in investment industry an asset.

• Minimum of 7+ years relevant business, Compliance, Legal or risk management.

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 deliver legendary customer experiences to 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 the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals. As an organization, we keep growing – and so will you.

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. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

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