Manager III, Regulatory & Policy Governance - TD Asset Management

TD Bank Group; Toronto; On-site; CAD 97,000 - 137,000; Full time

Job summary

TD Asset Management Inc. is seeking a Manager, Regulatory & Policy Governance to provide governance support for non-securities regulations. You will serve as the primary Privacy Designate, review privacy impact assessments, and coordinate with global counterparts to ensure TDAM compliance.

This role requires a strong background in privacy, risk management, and regulatory controls. You will report to the VP & Director, Regulatory & Policy Governance and work with TDAM partners to maintain

Qualifications

• Proven effective verbal and written communicator.
• Ability to work in a collaborative setting, as well as independently under guidance.
• Risk management and/or compliance experience from an asset management setting is beneficial.
• Experience as a privacy designate is preferred.

Responsibilities

• Provide governance, operational control, and regulatory subject matter expertise for non-securities activities of TDAM.
• Act as the subject matter expert for Canadian Privacy rules and regulations for the TDAM business.
• Serve as Privacy Designate to review privacy impact assessments and coordinate with global counterparts.

Skills

Verbal and written communication

Collaborative / independent

Risk management / compliance (asset mg

Privacy designator experience

Education

University degree in business, finance, or law

Job description

Work Location: Toronto, Ontario, Canada Hours: 37.5 Line of Business: TD General 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.

Job Description: Department Overview: TD Asset Management Inc. (TDAM) is a North American investment manager offering progressive investment solutions to investors globally. For over two decades, TDAM established competitive market positions in active, quantitative, enhanced, and alternatives portfolio management. TDAM offers a diverse range of over 120 investment solutions and manages retail mutual funds and ETFs in Canada for over 1.9 investors. TDAM provides its investment management services to institutional entities, and it offers its retail mutual funds and ETFs to Canadian retail investors through TD Canada Trust branches, TD Wealth affiliates, and other leading investment dealers, independent brokers, advisors, and financial planners. The TDAM Regulatory & Policy Governance group, the TDAM 1B function within the three lines of defense governance model, provides oversight of controls and management of regulatory exposures for the TDAM business. With a comprehensive governance support mandate at TDAM, RPG is a group comprised of a wide array of subject matter experts and is an excellent place for risk/compliance professionals to deepen their knowledge of TDAM's operations and the investment management business.

Job Description

The Manager, Regulatory & Policy Governance provides governance support to the TDAM business for non-securities regulations. The successful candidate serves as a subject matter expert to support TDAM in its adherence to the applicable regulatory and TD's internal requirements in topics that include, privacy, FATCA/CRS, and registered products. Other backup responsibilities may include other topics such as accessibility, CASL, francization, complaints, conduct risk, and others, as assigned. Reporting to the Vice President & Director, Regulatory & Policy Governance (Non-Securities Regulations), the successful candidate will:

• Provide governance, operational control, and regulatory subject matter expertise and support for the non-securities regulatory activities of TDAM;
• Act as the subject matter expert for Canadian Privacy rules and regulations for the TDAM business;
• Serve as the primary Privacy Designate at TDAM to review and challenge the privacy impact assessments from the TDAM business as part of its normal operations, as well as the handling and reporting of privacy events, and coordinate with global counterparts, as assigned/required;
• Support within TDAM the identification, understanding and implementation of requirements pertaining to Canadian privacy, FATCA/CRS, and for registered products;
• Support the Regulatory Compliance Management ("RCM") Program for non-securities regulatory activities in accordance with the RCM Standards on behalf of TDAM, including the maintenance of the regulatory library, control design and implementation, control mapping, monitoring and implementation of regulatory changes, identification and management of regulatory issues;
• Promote a culture of compliance and strong risk management that aligns with the TDAM business\'s risk appetite;
• Maintain strong working relationships with internal business partners and stakeholders;
• Provide regulatory and operational control guidance to the TDAM business on their processes impacted by non-securities regulations;
• Develop and maintain policies and procedures supporting TDAM\'s compliance with non-securities regulations;
• Provide training on non-securities regulatory requirements to TDAM business as required;
• Establish and maintain strong working relationships with control partners from the second line functions through regular interactions; and
• Provide support on other non-securities regulations topics, as appropriate.

Qualifications/Skills/Experience

• 10+ years of relevant working experience
• Proven effective verbal and written communicator
• Ability to work in a collaborative setting, as well as independently under guidance
• Risk management and/or compliance experience from an asset management setting is beneficial
• Experience as a privacy designate is preferred
• Specific Educational Requirements/Accreditations: University degree, preferably in business, finance, or law
• No industry certifications and designations required but will be considered

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.

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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

Our Values

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 your 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.

Helping to Make an Impact in Communities – TD Ready Commitment

TD has a long-standing commitment to help drive progress towards a more inclusive and sustainable future. That\’s why we launched the TD Ready Commitment in 2018, now a multi-year North American initiative. Under the TD Ready Commitment, we are targeting a total of C$1 billion by 2030 in community giving across four key, interconnected drivers of change: Financial Security, Vibrant Planet, Connected Communities, and Better Health. It\’s our goal to help support change, nurture progress, and contribute to making the world a better, more inclusive place for our customers, colleagues, and communities.

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