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

Job summary

Provide leadership for the global compliance program supporting TD Asset Management with a focus on APAC and Caribbean regulatory requirements. Develop compliance policies, provide advisory assessments, and act as a subject matter expert on sustainable investing.

Job details

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. Job Description: 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 will include, but not be limited to: 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): Sans Objet

What you’ll do

Provide leadership for the global compliance program supporting TD Asset Management with a focus on APAC and Caribbean regulatory requirements. Develop compliance policies, provide advisory assessments, and act as a subject matter expert on sustainable investing.

Requirements

Requires a minimum of 7+ years of relevant experience in business, compliance, legal, or risk management. A university or college degree is required, with a law degree or investment industry specialization considered an asset.

Benefits

• Health and well-being benefits
• Savings and retirement programs
• Paid time off
• Banking benefits and discounts
• Career development
• Reward and recognition programs

Listed skills

• Problem solving · Preferred
• Policy development · Preferred
• Risk Management · Preferred
• Stakeholder Management · Preferred

Other relevant skills

Identified from the job description. Confirm important requirements above.

• Regulatory compliance management
• Compliance advisory
• Risk management
• Investment management
• Sustainable investing
• Policy development
• Regulatory change management
• Surveillance
• Monitoring and testing
• Analytical skills
• Problem-solving
• Stakeholder management
• Research
• Investigative skills
• Organizational skills
• Regulatory Compliance Management
• Organizational Skills
• Time Off Management
• Asset Management
• Banking
• Financial Institution
• Management
• Investments
• Training And Development
• Creativity
• Investment Management
• Leadership
• Marketing
• Problem Solving
• Learning Platforms
• Risk Management
• Mentorship
• Employee Onboarding
• Wealth Management

Job areas

• Finance & Accounting
• Management & Leadership
• Legal
• Global Asset Manager
• Investment Fund Manager
• Financial and Investment Advisers
• Investment Fund Managers
• Financial Managers

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