Senior Manager, Business Compliance Oversight - Td Asset Management

Work Location: Toronto, Ontario, CanadaHours: 37.5Line of Business: CompliancePay Details: $115,600 - $163,200 CADTD 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.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 degreeCanadian securities industry courses10+ years relevant Asset Management experience. Regulatory, compliance, legal or risk management experience is highly desirableSignificant expertise in PM, EMD, IFM, institutional clients in Canada and InternationalStrong influence skills, with the ability to work collaboratively across multiple management teamsProven ability to develop collaborative business relationshipsAbility to work independently and proactively, with support of the AVP on key issuesDemonstrated excellence in business presentation skills including verbally, in writing and in management reportingDetail-oriented, highly organized, and able to work in a dynamic environmentAbility to make sound b
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