Associate, Regulatory & Policy Governance (RCM Function)

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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 June 30 2026 TDAM and its affiliates manage over $548 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 Associate will join the TDAM Regulatory & Policy Governance (RPG) group and report to the Managing Director North American RPG. RPG forms 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 across the TDAM and TD Epoch businesses.

The Associate RPG will lead and coordinate core Regulatory Compliance Management (RCM) governance activities for TDAM and TD Epoch. The role requires sound judgment to assess regulatory and business impacts work independently across stakeholders and escalate material issues appropriately.

• Lead the annual RCM self-assessment process for TDAM and TD Epoch including the Program Effectiveness Compliance Effectiveness Review and Inherent Risk Rating assessments; coordinate stakeholder input challenge responses and maintain supporting evidence.
• Identify and assess regulatory compliance risks and control gaps arising from the self-assessment process escalate material issues and support the development and timely completion of practical action plans.
• Review and update RCM procedure documents as needed to ensure alignment with applicable enterprise standards and perform assigned activities set out in the RCM operating procedures including supporting the Managing Director North American RPG in preparing the annual RCM resource plan.
• Provide RCM governance support for business organizational changes including updates and ongoing maintenance within the Canadian and US Global Regulatory Inventory & Control and support the team in documenting regulatory controls in consultation with business stakeholders.
• Collaborate and share information with colleagues across the International RPG team to support the effectiveness and consistency of the overall RCM program from a global perspective.
• Perform regulatory change management activities including materiality and business impact assessments stakeholder coordination documentation escalation and handoff of implementation requirements.
• Review Change Risk Assessments for potential impacts to regulatory controls and assess securities regulatory implications in support of AI governance.
• Develop review and maintain training content courses job aids and related communications.
• Establish strong relationships and maintain an effective interaction model with business partners Legal Compliance Risk and other stakeholders across TDAM and TD Epoch.
• Perform policy updates and other ad hoc tasks projects and priority initiatives as assigned by the Managing Director North American RPG.

• 35 years of relevant experience in financial services including compliance legal internal audit regulatory risk management governance policy or controls. Asset management experience is an asset.
• University degree or equivalent combination of education and relevant experience; professional or industry qualifications are an asset.
• Experience assessing regulatory and enterprise requirements and translating them into practical business impacts controls procedures and accountabilities.
• Excellent written and verbal communication skills with the ability to prepare clear concise materials for senior leaders.
• Strong analytical organizational and problem-solving skills with sound judgment and close attention to detail.
• Ability to independently manage multiple priorities drive deliverables across stakeholders and meet deadlines in a fast-paced environment.
• Strong relationship-management skills and the ability to collaborate effectively with business and control partners.
• 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.
• Act as a subject-matter resource promoting consistent and effective execution of RCM activities.

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):