Senior Manager, Business Compliance Oversight – TD Asset Management (5136)

Description

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Department Overview

TD Wealth Compliance is part of TD Compliance Department, a second line oversight function. It provides regulatory compliance oversight over multiple TD Wealth lines of business. TD Wealth Compliance has an immediate need for a Senior Manager, Business Compliance Oversight to provide compliance advisory and second line oversight of TD Asset Management (TDAM) activities in Canada and international jurisdictions with a focus on Regulatory Compliance Management (RCM), Regulatory Change Program and regulatory reviews.

Job Details

Reporting to Chief Compliance Officer, TD Asset Management Inc. & AVP, Wealth Compliance, the Senior Manager, Business Compliance Oversight provides compliance advisory and second line oversight of TDAM with a focus on Regulatory Compliance Management (RCM) program and Regulatory Change Program. This role will engage with various stakeholders and advise on delivering effective compliance with changing laws and regulations to help ensure strong compliance controls and processes to mitigate regulatory compliance risks.

The Senior Manager accountabilities will include, but not limited to:

• Lead the compliance review of applicable regulatory change and lead compliance advocacy efforts related to new and changing laws and regulations that impact TD Asset Management Inc. - Act as subject matter expertise on applicable regulatory change, emerging regulatory risks, trends, best practices, industry or market developments to ensure that anticipated regulatory changes are considered in business activities, strategic plans, policies and processes, and reporting

• Lead execution of TDAM international regulatory change management program in accordance with TD RCM Program requirements, including end to end regulatory change management with international local compliance advisory, control partners and business stakeholders

• Lead and execute RCM activities as assigned, which may include but not limited to risk assessment, review and challenge of regulatory inventory & controls, monitoring and testing, training, regulatory relationship management

• Where assigned, act as the Compliance lead, working with the business and 1B, in response to assigned regulatory examination, investigations, inquiries, questionnaires, field reviews, internal and external audits, and client complaints.

• Assist CCO in meeting various reporting requirements, both internally within compliance as well as to the businesses and regulators

• Assess, review and challenge, recommend, develop, draft and/or implement policies, procedures, compliance manuals, processes, controls and/or actions to address regulatory requirements, initiatives, issues

• Lead or participate in internal, industry or regulatory committees or working groups to represent Wealth Compliance, as assigned, on compliance and policy matters

• Provide compliance advisory on TDAM activities, including business initiatives, compliance or regulatory matters, regulatory change, regulatory and other audits, issues resolution and/or other assigned projects

• Collaborate with stakeholders to gather and assess requirements; consider alignment cross platform or functions; identify, assess and address risks, issues and escalations; and provide compliance advice that aligns with Compliance strategy and objectives and regulatory requirements

• Ensure effective and customized compliance oversight program for TDAM to detect and mitigate regulatory violations and breaches of internal policies and procedures relating to applicable regulatory requirements, using a risk based approach, aligned with RCM requirements

• Provide compliance guidance, challenge and oversight for business projects and initiatives

• Perform periodic or targeted monitoring activities

• Keep abreast of emerging issues, trends, best practices and evolving regulatory requirements and assess potential impacts

• May lead, coach and/or manage a high performing team on delivery of Compliance programs or assigned matters

Experience & Education

• Undergraduate degree

• Canadian securities industry courses

• 10+ years relevant Asset Management experience. Regulatory, compliance, legal or risk management experience is highly desirable

• Significant expertise in PM, EMD, IFM, institutional clients in Canada. International experience desired.

• Strong influence skills, with the ability to work collaboratively across multiple management teams

• Proven ability to develop collaborative business relationships

• Ability to work independently and proactively, with support of the AVP on key issues

• Demonstrated excellence in business presentation skills including verbally, in writing and in management reporting

• Detail-oriented, highly organized, and able to work in a dynamic environment

• Ability to make sound business decisions

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.

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