Work Location: Toronto, Ontario, Canada

Hours: 37.5

Line of Business: Compliance

Pay Details: $115,600 - $163,200 CAD

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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 projects

Lead 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 management

Act 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 reporting

Act 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 regulators

Assess, review and challenge, recommend, develop, draft and/or implement policies, procedures, compliance manuals, processes, controls and/or actions to address regulatory requirements, initiatives, issues





Lead or participate in internal, industry or regulatory committees or working groups to represent Wealth Compliance, as assigned, on compliance and policy matters

Collaborate 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 requirements

Ensure 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 requirements

Provide compliance guidance, challenge and oversight for business projects and initiatives

Perform periodic or targeted monitoring activities

May lead, coach and/or manage a high performing team on delivery of Compliance programs or assigned matters

Experience & 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

Robust 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 b

📌 Senior Manager, Business Compliance Oversight - TD Asset Management (5767) (Winnipeg)
🏢 TD Bank Group
📍 Winnipeg