Senior Manager, Business Compliance Oversight - Td Asset Management

Work Location: Toronto, Ontario, CanadaHours: 37.5Line of Business: CompliancePay Details: $115,600 - $163,200 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 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 (UK, EU, APAC, Caribbean).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. 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:
Provide compliance advisory on TDAM activities in Canada and international jurisdictions (UK, EU, APAC, Caribbean), including business initiatives, compliance or regulatory matters, regulatory change, regulatory and other audits, issues resolution and/or other assigned projectsLead and execute Regulatory Compliance Management (RCM) activities as assigned, which may include but not limited to regulatory change management program oversight, risk assessment, review and challenge of regulatory inventory & controls, monitoring and testing, training, regulatory relationship managementAct as subject matter expert 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 reportingAct 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 compliance reporting requirements, both internally within compliance as well as to the businesses and regulatorsAssess, review and challenge, recommend, develop, draft and/or implement policies, procedures, compliance manuals, processes, controls and/or actions to address regulatory requirements, initiatives, issuesLead or participate in internal, industry or regulatory committees or working groups to represent Wealth Compliance, as assigned, on compliance and policy mattersCollaborate 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 requirementsEnsure 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 requirementsProvide compliance guidance, challenge and oversight for business projects and initiativesPerform periodic or targeted monitoring activitiesMay lead, coach and/or manage a high performing team on delivery of Compliance programs or assigned mattersExperience & 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 and International 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 decisionsWho 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 moreAdditional 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. 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. Language Requirement (Quebec only): Sans ObjetOur 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
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