Senior Manager Tdam Compliance Oversight
The Toronto-Dominion Bank (Canada)
Lead compliance advisory and second line oversight for TD Asset Management from Toronto, supporting regulatory controls across international jurisdictions.TD Wealth Compliance seeks a Senior Manager, Business Compliance Oversight reporting to senior compliance leaders. The role advises TDAM stakeholders, manages regulatory change, and addresses compliance risks across Canada, the UK, EU, APAC, and Caribbean. It supports effective controls and processes.Key Responsibilities:
Provide compliance advice on TDAM activities and regulatory mattersLead assigned Regulatory Compliance Management activities and testingAssess regulatory changes, emerging risks, and industry developmentsSupport examinations, investigations, audits, inquiries, and complaintsDevelop policies, controls, processes, and compliance reportingRequirements:
Undergraduate degree and Canadian securities industry courses10+ years of relevant Asset Management experienceExpertise in PM, EMD, IFM, and institutional clientsStrong influence, presentation, writing, and management reporting skillsAbility to work independently and make sound decisionsApply your Asset Management expertise, regulatory judgment, and oversight skills to TDAM compliance in Toronto and international markets.
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Provide compliance advice on TDAM activities and regulatory mattersLead assigned Regulatory Compliance Management activities and testingAssess regulatory changes, emerging risks, and industry developmentsSupport examinations, investigations, audits, inquiries, and complaintsDevelop policies, controls, processes, and compliance reportingRequirements:
Undergraduate degree and Canadian securities industry courses10+ years of relevant Asset Management experienceExpertise in PM, EMD, IFM, and institutional clientsStrong influence, presentation, writing, and management reporting skillsAbility to work independently and make sound decisionsApply your Asset Management expertise, regulatory judgment, and oversight skills to TDAM compliance in Toronto and international markets.
#J-18808-Ljbffr
Vacancy posted 2 hours ago
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