Work Location: Toronto, Ontario, Canada

Hours: 37.5

Line of Business: Governance & Control

Pay Details: $81,600 - $115,200 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.

:

TD Asset Management (TDAM), a member of TD Bank Financial Group, is a leading North American investment manager offering progressive investment solutions to both institutional and individual investors. For over two decades, the organization has established competitive market positions in active, quantitative, and passive portfolio management. As of March 31 2026,, TDAM and its affiliates manage over $510 billion in assets on behalf of pension, insurance, endowment/foundation, and corporate clients, as well as high-net worth clients and retail mutual funds.

In attaining this client commitment, TDAM has built one of Canada's largest and most respected investment management and research teams with more than 220 Portfolio Managers, Associate Portfolio Managers, Traders and Analysts.

About the Role

The Associate, Marketing Governance,



will join TDAM Global Regulatory & Policy Governance (RPG) and report to the VP & Director, Marketing Governance. RPG is part of TDAM's first line under TD's Three Lines of Defense risk model, providing oversight of controls and management of regulatory and operational risk exposures for the TDAM and TD Epoch businesses. This includes the creation and distribution of sales communications as defined under National Instrument 81-102.

Key Responsibilities

Marketing Review & Surveillance:

- Review and assess sales communications for compliance with applicable regulations, internal policies, and TD brand standards.
- Ensure all communications are fair, accurate, complete, and not misleading; verify that risk disclosures are given equal prominence to benefits and that all required DISCLAIMERS and footnotes are included.
- Post-issuance review of sales communications for prohibited representations, misleading statements, unsubstantiated claims, and inappropriate content.
- Confirm that all materials are consistent across different collateral, appropriately labeled for their intended audience and that distribution controls are in place.

Regulatory & Policy Adherence:

- Apply the requirements of sales communications guides to all reviews, including rules on performance data,



risk disclosures, use of legal/proper names, and trademark attributions.
- Ensure compliance with internal approval processes, recordkeeping, and documentation standards for all sales communications.
- Stay current on regulatory changes and update surveillance and testing procedures as needed.

Documentation & Reporting :

- Maintain up-to-date testing and surveillance logs.
- Prepare reports on findings, trends, and recurring issues for management and compliance oversight.
- Support internal and external audits as required.

Collaboration & Training :

- Collaborate with business partners to resolve deficiencies, clarify requirements, and support the development of compliant sales communications.
- Provide feedback, guidance, and training to business partners on regulatory and procedural requirements for sales communications.
- Contribute to the continuous improvement of marketing governance programs, processes, and tools.

Qualifications / Skills / Experience

- 4+ years of experience in compliance, legal, internal audit, regulatory risk management, or related function within the financial services sector.
- Robust knowledge of Canadian, U.S., or global regulatory requirements for sales communications.
- University degree/diploma preferred.
- Canadian Securities Course (CSC) and Conduct and Practices Handbook (CPH) are assets.
- Excellent written and verbal communication skills; strong attention to detail.
- Ability to work independently and collaboratively in a quick-paced, deadline-driven environment.
- Proficiency with Microsoft 365 applications.

📌 Associate, Marketing Governance - TDAM Global Regulatory & Policy Governance (Toronto)
🏢 TD Bank
📍 Toronto