Senior Manager, Business Compliance Oversight – TD Asset Management (5136)

TD•Toronto, ON

2d•CA$115,600 - CA$163,200•Onsite

About The Position

TD Wealth Compliance is seeking a Senior Manager, Business Compliance Oversight to provide regulatory compliance oversight for multiple TD Wealth lines of business. This role will focus on TD Asset Management (TDAM) activities in Canada and international jurisdictions, with an emphasis on the Regulatory Compliance Management (RCM) program, the Regulatory Change Program, and regulatory reviews. The Senior Manager will report to the Chief Compliance Officer, TD Asset Management Inc. & AVP, Wealth Compliance, and will advise on delivering effective compliance with evolving laws and regulations to ensure strong compliance controls and processes that mitigate regulatory compliance risks.

Requirements

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.
International experience desired.
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 decisions.

Responsibilities

Lead the compliance review of applicable regulatory change and lead compliance advocacy efforts related to new and changing laws and regulations that impact TD Asset Management Inc.
Act as subject matter expertise 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.
Lead execution of TDAM international regulatory change management program in accordance with TD RCM Program requirements, including end to end regulatory change management with international local compliance advisory, control partners and business stakeholders.
Lead and execute RCM activities as assigned, which may include but not limited to risk assessment, review and challenge of regulatory inventory & controls, monitoring and testing, training, regulatory relationship management.
Where assigned, 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 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.
Provide compliance advisory on TDAM activities, including business initiatives, compliance or regulatory matters, regulatory change, regulatory and other audits, issues resolution and/or other assigned projects.
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.
Keep abreast of emerging issues, trends, best practices and evolving regulatory requirements and assess potential impacts.
May lead, coach and/or manage a high performing team on delivery of Compliance programs or assigned matters.