Senior Manager, Compliance – Corporate & Investment Banking Compliance Advisory (Canada) (5181)

TD•Toronto, ON

14d•CA$115,600 - CA$163,200•Onsite

About The Position

We are looking for a Vice President, Compliance – Corporate & Investment Banking Compliance Advisory to join our team in Canada. The ideal candidate must have compliance experience in the investment banking space, preferably in an advisory capacity. The Vice President will assist in the management of the firm’s compliance program supporting Corporate & Investment Banking functions, including Debt and Equity Capital Markets.

Requirements

8-12+ years of compliance advisory experience. Similar experience with a regulator or law firm will be considered.
Experience in providing legal, regulatory, or compliance advice to investment banking and capital markets businesses.
Knowledge of Corporate & Investment Banking and Capital Markets activities, including Debt and Equity Capital Markets.
Strong knowledge of applicable Canadian securities laws, rules and regulations, including provincial securities commissions and CIRO, with the ability to assess firm impact.
Familiarity with U.S. regulatory frameworks (e.g., SEC, FINRA) and cross-border considerations is an asset.
Excellent oral and written communication skills.
Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced and high-pressure environment.
Ability to project confidence and professionalism in dealings with senior business personnel.
Strong knowledge of technology infrastructure and global booking models.
Ability to work on multiple projects in a fast-paced environment.
Ability to work effectively in a global environment; leveraging and sharing best practices and insights with colleagues globally.

Nice To Haves

JD, LLB, LLM or equivalent legal/regulatory background is a plus.

Responsibilities

Provide day-to-day strategic advice and guidance to front office and relevant control functions regarding public and private offerings of equity and debt securities.
Assist in the development and build out of a global Investment Banking Compliance program across Canada, US, Europe, and Asia Pacific.
Monitor and identify regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to Investment Banking Compliance.
Ensure day-to-day activities of the Investment Banking Compliance team are conducted in a manner consistent with the Bank’s risk culture and the relevant risk appetite statement and limits.
Responsible for analyzing and scoping the impact of new and complex regulatory and compliance developments.
Advise on complex transactions, including cross-border activity, identifying regulatory risks and appropriate mitigation strategies.
Participate in industry groups and trade association working groups or other forums.
Accountable for the investigative process related to possible instances of non-compliance and ensures escalation to the appropriate teams/individuals for remediation or corrective actions as required.
Assist with development and delivery of training programs for front office personnel and relevant control personnel.