Analyst, Regulatory & Policy Governance TD Asset Management

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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 candidates 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:

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 December 31 2025 TDAM and its affiliates manage over $508 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 Canadas largest and most respected investment management and research teams with more than 220 Portfolio Managers Associate Portfolio Managers Traders and Analysts.

The Analyst will join the TDAM Regulatory & Policy Governance (RPG) group and report to the Managing Director North American RPG. RPG is part of TDAMs first line under TDs 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.

The Analyst RPG will primarily be responsible for supporting the governance of various committees and programs at TDAM as well as supporting the business in its adherence to regulatory requirements pertaining to its Investment Fund Manager Portfolio Manager and Exempt Market Dealer registrations.

Reporting to the Managing Director North American RPG the successful candidate will:

• Prepare quarterly materials and meeting minutes for the TDAM Policy Oversight Committee and maintain the RPG teams policy tracker to ensure policies are updated in a timely manner.
• Compile quarterly and annual reporting for the Independent Review Committee of the TDAM Funds.
• Support certain tasks related to trade management oversight.
• Support TDAMs compliance with the Regulatory Compliance Management Program including participation in the process to validate and obtain agreement of key regulatory controls with business owners.
• Prepare and maintain key documents supporting regulatory compliance including compliance policies and associated procedures and incorporate reviews by multiple stakeholders.
• Assess and address impacts and gaps related to any ongoing business or regulatory changes.
• Support business on updating procedures for new processes/controls.
• Maintain tracking of potential conflicts of interest matters and follow up with business partners on status.
• Maintain the annual Business Required Training Plan and oversee tracking of attendance and related training tasks.
• Support the team on audit coordination including timely delivery of documentation to the auditors.
• Support the Managing Director North American RPG in ad-hoc tasks including reporting procedure writing and tracking of issues.
• Establish strong relationships and maintain an interaction model with business partners Compliance and Legal.
• Liaise with industry associations (Portfolio Management Association Investment Fund Institute Investment Company Institute Investment Adviser Association and Securities Industry and Financial Markets Association) and industry contacts on compliance and policy matters including best practices analysis interpretation and execution.

• 2 years of experience in compliance legal internal audit regulatory risk management or related function within the financial services sector.
• University degree/diploma preferred.
• Excellent written and verbal communication skills; strong attention to detail.
• Ability to work independently and collaboratively in a fast-paced deadline-driven environment.
• Proficiency with Microsoft 365 applications.

• Be engaged in advancing and sustaining a unique inclusive culture that reflects TDs diversity agenda and creates an extraordinary employee experience.
• Participate fully as a member of the team and contribute to a positive work environment.
• Ensure ongoing communication with the team on the status/progress of projects issues and other points of interest.
• Actively share information and knowledge and proactively learn from the expertise of others.

Who We Are:

TD is one of the worlds leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day we strive to make every interaction product and experience remarkably human and refreshingly simple for over 27 million households and businesses in Canada the United States and around the world. More than 95000 TD colleagues bring their skills talent and creativity to foster deeper relationships ensure disciplined execution and build a simpler faster banking experience. TD is deeply committed to being a leader in client experience that is why we believe that all colleagues no matter where they work are client facing. Together we are reimagining what banking can be for our clients colleagues and communities.

Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial physical and mental well-being goals. Total Rewards at TD includes a base salary variable compensation and several other key plans such as health and well-being benefits savings and retirement programs paid time off banking benefits and discounts career development and reward and recognition programs. Learn more

Additional Information:
Were delighted that youre considering building a career with TD. Through regular development conversations training programs and a competitive benefits plan were committed to providing the support our colleagues need to thrive both at work and at home.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations requirements.

Colleague Development

If youre interested in a specific career path or are looking to build certain skills we want to help you succeed. Youll have regular career development and performance conversations with your manager as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.

If youre passionate about helping clients and building deep lasting relationships TD offers diverse career paths where you can grow your expertise and make a meaningful impact.

Were committed to your success and foster a respectful workplace where diverse perspectives are valued everyone has fair opportunities to grow and you can unlock your full potential to achieve your career goals. Here at TD we hire and develop the best.

Training & Onboarding
We will provide training and onboarding sessions to ensure that youve got everything you need to succeed in your new role.

Interview Process
Well reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation
Your accessibility is important to us. Please let us know if youd like accommodations (including accessible meeting rooms captioning for virtual interviews etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you!

Language Requirement (Quebec only):