Manager, Business Compliance Oversight, Global Asset Management (5427)

The Toronto-Dominion Bank (Canada); Toronto; On-site; CAD 97,000 - 137,000; Full time

Job summary

TD Wealth Compliance in Toronto is seeking a senior compliance leader to align global asset management programs with Regulatory Compliance Management, focusing on APAC and the Caribbean. You will collaborate with Compliance, Legal and business partners across North America, Europe and Asia to ensure regulatory alignment and robust governance.

You will develop policies, provide advisory on regulatory initiatives, and lead cross-functional projects while building training materials and scalable

Qualifications

• Advanced knowledge of regulatory requirements for asset management in APAC and Caribbean.
• Experience in compliance or risk management programs and investment products.
• Ability to assess risks and balance priorities.
• Ability to provide actionable compliance guidance to the business.
• Strong teamwork across management levels.
• Analytical and problem-solving skills.
• Ability to articulate issues for escalation.

Responsibilities

• Support Asset Management regulatory compliance with a focus on APAC and Caribbean.
• Provide compliance advisory and assessments on business initiatives.
• Develop, draft, and maintain compliance materials (policies, procedures).
• Align key Compliance policies for international applicability.
• Be a subject matter expert on sustainable investing for asset management.
• Build relationships within TD Compliance, Legal, and Wealth groups.
• Lead projects and ad-hoc requests with SME input.

Skills

Regulatory compliance

Risk management

Analytical thinking

Communication

Stakeholder collaboration

Policy drafting

Education

University or College degree

Law degree (JD/LLB) asset

Investment industry degree asset

Job description

Work Location: Toronto, Ontario, Canada

Hours: 37.5

Line of Business: Compliance

Pay Details: $96,900 - $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.

Department Overview

The TD Wealth Compliance Department provides second line oversight of the Wealth lines of businesses. Key functions within the unit include the Chief Compliance Officers of Wealth entities and their teams managing a range of responsibilities including compliance advisory, surveillance, marketing reviews, regulatory compliance management, regulatory change management, monitoring and testing. 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 TD Asset Management business aligns to the Regulatory Compliance Management (RCM) program with a focus on Asia-Pacific (APAC) and Caribbean compliance program. The role will require working closely with a broad array of stakeholders in Compliance, Legal and the business in North America, Europe and Asia.

Accountabilities

• Support Asset Management regulatory compliance management program (RCM) with a focus on APAC and Caribbean compliance program
• Provide compliance advisory and assessments on business initiatives
• Develop, research, draft and maintain compliance-owned materials (policies, procedures).
• 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 TD Compliance, control partners, Legal 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 requirements for the asset management business in APAC and Carribean
• 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 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)

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At TD we’re guided by our purpose to enrich the lives of our customers, communities and colleagues, and share a set of values that shape our culture and guide our behavior. In exchange for how our colleagues show up to help TD succeed, we are committed to delivering a colleague experience grounded in Impact, Growth and a Culture of Care. No matter where you work across TD, we empower you to make an impact at work and in the community, explore and grow your career and be part of our caring and inclusive culture.

Our Commitment to Diversity, Equity, and Inclusion

At TD, we’re committed to fostering an environment where all colleagues are encouraged to bring their authentic selves to work, experience equitable opportunities, and feel respected and supported. We’re dedicated to building an inclusive workforce that reflects the diversity of the customers and the communities in which we live and serve.

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