manager, financial control

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

Job summary

TD Bank seeks a Manager for Business Compliance Oversight in their Global Asset Management division based in Toronto. The role requires expertise in regulatory compliance and risk management, overseeing the compliance program, and collaborating with multiple stakeholders across regions. Ideal candidates should hold a university degree and a minimum of 7 years of relevant experience, with strong analytical and problem-solving skills.

Qualifications

• Minimum of 7+ years in compliance or risk management.
• Advanced knowledge of regulatory requirements for asset management.
• Experience in investment management products.

Responsibilities

• Provide leadership for global compliance programs.
• Review marketing materials for compliance.
• Develop compliance policies and training materials.

Skills

Regulatory Compliance Management

Risk Management

Analytical Skills

Problem Solving

Research Skills

Education

University or College degree

Law degree (JD/LLB)

Job description

Title posted on CareerBeacon - Manager, Business Compliance Oversight, Global Asset Management ()

Posted onJune 25, 2025 by Employer details TD Bank

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manager, financial control

Title posted on CareerBeacon - Manager, Business Compliance Oversight, Global Asset Management ()

Posted onJune 25, 2025 by Employer details TD Bank

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Job details

Work Location:Toronto, Ontario, CanadaHours:37.5Line of Business:CompliancePay Details:$91,200 - $136,800 CADTD 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 OverviewThe 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 DetailsProvide 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 RequirementsAdvanced 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 / AccreditationsUniversity 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 brin

• Location Toronto , ON
• Workplace information On site
• Salary $ 25.00 to $ 62.00 HOUR hourly
• Terms of employment Permanent employment Full time
• Starts as soon as possible
• vacancies 1 vacancy
• Source CareerBeacon #2169123

• Toronto, ON

View the full job posting on CareerBeacon

Advertised until

2025-07-24

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