Associate, Regulatory & Policy Governance - TD Asset Management
Associate, Regulatory & Policy Governance - TD Asset Management
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Job Description
Work Location:
Toronto Ontario CanadaHours:
37.5Line of Business:
TD GeneralPay Details:
$76800 - $115200 CADTD 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 Inc. (TDAM) is a North American investment manager offering progressive investment solutions to investors globally. For over two decades TDAM established competitive market positions in active quantitative enhanced and alternatives portfolio management. TDAM offers a diverse range of over 120 investment solutions and manages retail mutual funds and ETFs in Canada for over 1.9 investors. TDAM provides its investment management services to institutional entities and it offers its retail mutual funds and ETFs to Canadian retail investors through TD Canada Trust branches TD Wealth affiliates and other leading investment dealers independent brokers advisors and financial planners.
The TDAM Regulatory & Policy Governance group the TDAM 1B function within the three lines of defense governance model provides oversight of controls and management of regulatory exposures for the TDAM business. With a comprehensive governance support mandate at TDAM RPG is a group comprised of a wide array of subject matter experts and is an excellent place for risk/compliance professionals to deepen their knowledge of TDAMs operations and the investment management business.
Job Description:
The Associate Regulatory & Policy Governance provides governance support to the TDAM business for non-securities regulations. The successful candidate serves as a subject matter expert to support TDAM in its adherence to the applicable regulatory and TDs internal requirements in topics that include accessibility CASL ESG francization complaints and conduct risk. Other backup responsibilities may include other topics such as privacy FATCA/CRS registered products and others as assigned.
Reporting to the Vice President & Director Regulatory & Policy Governance (Non-Securities Regulations) the successful candidate will:
- Provide governance operational control and regulatory subject matter expertise and support for the non-securities regulatory activities of TDAM
- Act as the subject matter expert for the non-securities rules and regulations specific to the role;
- Serve as the primary point of contact for the non-securities rules and regulations as well as facilitate the implementation of policies procedures and controls at TDAM by working with internal stakeholders;
- Support the Regulatory Compliance Management (RCM) Program for non-securities regulatory activities in accordance with the RCM Standards on behalf of TDAM including the maintenance of the regulatory library control design and implementation control mapping monitoring and implementation of regulatory changes identification and management of regulatory issues
- Help protect TDAMs interests by keeping abreast of business trends risks and control management issues and by maintaining a high level of knowledge of existing and emerging risk issues
- Promote a culture of compliance and strong risk management that aligns with the TDAM business risk appetite;
- Maintain strong working relationships with internal business partners and stakeholders;
- Provide advice and guidance to TDAM stakeholders on governance and regulatory requirements including requirements for accessibility CASL ESG francization complaints and conduct risk
- Develop and maintain policies and procedures supporting TDAMs compliance with non-securities regulations
- Prioritize and facilitate the implementation of appropriate TD Bank and TD Wealth practices and related enhancements
- Provide training on non-securities regulatory requirements to TDAM business as required
- Establish and maintain strong working relationships with control partners from the second line functions through regular interactions; and
- Provide support on other non-securities regulations topics as appropriate.
Qualifications/Skills/Experience:
- 7 years of relevant working experience
- Proven effective verbal and written communicator
- Ability to work in a collaborative setting as well as independently under guidance
- Risk management and/or compliance experience from an asset management setting is preferred
Specific Educational Requirements/Accreditations
- University degree preferably in business finance or law
- No industry certifications and designations required but will be considered
**4 days in the office required**
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 deliver legendary customer experiences to 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 the Bank those we serve and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers communities and colleagues.
TD is deeply committed to being a leader in customer experience that is why we believe that all colleagues no matter where they work are customer facing. As we build our business and deliver on our strategy we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether youve got years of banking experience or are just starting your career in financial services we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs were here to support you towards your goals. As an organization we keep growing and so will you.
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. Whether you have a passion for helping customers and want to expand your experience or you want to coach and inspire your colleagues there are many different career paths within our organization at TD and were committed to helping you identify opportunities that support your goals.
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):
Sans ObjetRequired Experience:
IC
Employment Type
Full-Time
