Manager, Regulatory & Policy Governance -TD Asset Management

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

Job summary

TD Bank is seeking a Manager for Regulatory & Policy Governance in Toronto, Ontario. This role involves overseeing regulatory compliance, managing risks, and ensuring the effective design of controls within the investment management firm. The ideal candidate will demonstrate strong expertise in compliance, auditing, and regulatory processes, contributing to the bank's successful operations.

Qualifications

• Extensive auditing background with regulatory requirements experience.
• Asset management or fund management knowledge.
• Knowledge of derivatives is an asset.

Responsibilities

• Responsible for supporting business adherence to regulatory requirements.
• Assess and update policies and develop controls to meet regulations.
• Prepare compliance policies and maintain procedures with stakeholder reviews.

Skills

Expert knowledge of compliance policies

Expert communication skills

Ability to exercise sound judgement

Collaborative working style

Ability to work independently

Education

Degree in business or finance

Job description

Manager, Regulatory & Policy Governance -TD Asset Management page is loaded

Manager, Regulatory & Policy Governance -TD Asset Management

Apply remote type On Site locations Toronto, Ontario time type Full time posted on Posted 2 Days Ago time left to apply End Date: June 13, 2025 (11 days left to apply) job requisition id R_1422804

Work Location:

Toronto, Ontario, Canada

Hours:

37.5

Line of Business:

TD General

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:

TD Asset Management (TDAM) is a North American investment management firm with leading market positions in passive, quantitative, enhanced, active and alternatives portfolio management. It serves a large and diversified client base including institutional entities and high net worth individuals. TDAM offers a diverse range of over 120 investment solutions and manages retail mutual funds in Canada on behalf of more than 1.9 million investors. Mutual Funds are available through TD Canada Trust branches as well as from its Wealth Management affiliates and also through leading investment dealers, independent brokers, advisors and financial planners.

Within TDAM, the oversight of controls and the management of regulatory and operational risk exposures are managed by the Regulatory & Policy Governance (“RPG”) Group within the business, a 1B group.

Job Description/Accountabilities:

The Manager, Regulatory & Policy Governance will be responsible for supporting the business in its adherence to its regulatory requirements pertaining to its Investment Fund Manager, Portfolio Manager, and Exempt Market Dealer registrations. In addition, as part of the launch of new products or other change initiatives, this role will be a contact for the assessment of policies and controls to adhere to regulatory requirements.

Reporting to the Vice President & Director, Regulatory Compliance Management, the successful candidate will:

• During the launch of new products or change initiatives, work with business stakeholders and control partners to:
  • Assess and interpret regulatory requirements;
  • Perform gap analysis as required;
  • Assess and update or develop policies; and
  • develop key controls to adhere to regulatory requirements ("RCM Rule Mapping").
• Provide effective 1B challenge to ensure the effective design of controls owned by 1A business stakeholders.
• Be a subject matter expert on interpreting the application of the securities regulatory requirements for the business with support from Compliance and Legal.
• Prepare and maintain compliance policies and procedures and incorporate reviews by multiple stakeholders.
• Assess and address impacts and gaps related to any ongoing business or regulatory changes.
• Work with the business to build out new processes or updates to existing processes to meet securities regulatory requirements and policy requirements.
• Support business on updating procedures for new processes/controls.
• Participate in change management initiatives as they arise by supporting the business on regulatory analysis and interpretation at both the approval and implementation stages of a change.
• Draft training materials to educate business on the new requirements and processes/controls.
• Support ad-hoc analysis and impact assessment on emerging regulatory compliance risks.
• Establish strong relationships and maintain an interaction model with business partners, Compliance, and Legal.
• Liaise with industry associations (Portfolio Management Association, Securities and Investment Management Association, Investment Company Institute, Investment Adviser Association) and industry contacts on compliance and policy matters including best practices, analysis, interpretation and execution.

Job Requirements:

• Extensive auditing background with experience in designing key controls to meet regulatory requirements.
• Asset management or fund management knowledge with relevant securities regulatory experience.
• Expert knowledge of compliance policies and procedures preparation and regulatory rule interpretation.
• Expert communication skills including writing skills.
• Ability to exercise sound judgement in making decisions.
• Collaborative working style and the ability to facilitate groups at all levels in a professional manner who have competing agendas to gain consensus.
• Ability to work independently and prioritize work while meeting multiple deadlines and are highly motivated.

Specific Educational Requirements/Accreditations:

• Degree, preferably in business, finance
• Experience in or knowledge of the investment management business and investment industry regulations
• Knowledge of derivatives is an asset

**Expectation is to be in the office 4 days a week**

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

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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. Learn more: Canada | US | Europe & Asia Pacific