Manager, Regulatory & Policy Governance

Work Location:

Hours:

Line of Business:

Pay Details:

Were committed to providing fair and equitable compensation to all our colleagues. As a candidate we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions including pay details for this role.

Job Description:

TD Asset Management Inc. (TDAM) a member of the TD Bank Financial Group is a leading Canadian investment manager offering progressive investment solutions to both institutional and individual investors in Canada and 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 ETFs and Liquid Alternative Funds 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 (RPG) the TDAM 1B function within the three lines of defense governance model provides oversight of controls and management of regulatory and operational risk exposures for the TDAM business. RPG proactively monitors regulatory rule changes and industry practices prepares policies educates on regulations and operational controls monitors control effectiveness and serves as the Center of Excellence in supporting the TDAM business in the continual improvement its control environment. 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.

The Manager International Product and Portfolio Management Governance role will support the international asset management (IAM) activities for the TD asset management businesses (including TDAM Epoch Investment Partners Inc. (TD Epoch) and Epoch Investment Partners UK Ltd. (TD Epoch UK)). The role will support the creation and on-going governance of portfolio management activities outside of Canada and the US as well as investment products with an initial focus on Luxembourg AIFMD Ireland UCITS Cayman feeders.

The role will provide advice and guidance on sustainable commercial strategies within an appropriate supervisory and governance model that is aligned to TD Bank and TD Wealths policies risk appetite and international regulatory requirements.

This role will help provide guidance and support to TDAM and TD Epoch Head Office 1Bs on international product and portfolio management requirements. The role will liaise with the TD Epoch and TDAM teams in North America as well as affiliated entities that support IAM activities.

Accountabilities:

• Provide governance and subject matter expertise for the following:
• Luxembourg AIFMD and Ireland UCITs product regulatory rules;
• Luxembourg AIFMD and Ireland UCITs product regulatory rules that apply to the AIFM and provide guidance to governance teams in North America on governance oversight for those rules;
• ESG rules including Article 8 and SFDR governance;
• Support AIFMD accountabilities as required;
• Cayman product regulatory rules including supporting the General Partner of the Fund in their Cayman rule accountabilities as required;
• Maintenance of Product Manuals;
• Portfolio management and trading rules of UK/EU that impact portfolio management/trading processes in Canada and US;
• Hong Kong/Singapore/UK portfolio management and trading rules of Hong Kong UK Singapore that are applicable to portfolio management staff in Hong Kong UK and Singapore.
• Be part of a team that supports the Regulatory Compliance Management (RCM) Program in accordance with the RCM Standards on behalf of the asset management businesses 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;
• Maintain a regulatory library for rules that apply to third party investment management companies General Partners of the Funds and the Fund Boards as applicable;
• Promote a culture of compliance and strong risk management that aligns with the asset management business risk appetite;
• Maintain strong working relationships with internal business partners stakeholders and other governance team members in North America;
• Help protect the businesses 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;
• Act as a governance contact for Third-Party Management Company(ies) as required;
• Prioritize and facilitate the implementation of appropriate TD Bank and TD Wealth practices and related enhancements;
• Lead the remediation process in collaboration with the businesses when control gaps are identified and support the business in designing action plans;
• Ensure timely communication of issues that are relevant to the business and related stakeholders and encourage good working relationship with internal and external business partners and groups;
• Provide RPG support on projects and initiatives as require

• Job Requirements: The successful candidate must:
• Have a solid understanding of the asset management business and global marketing practices;
• Expert knowledge of understanding of international asset management regulatory rules (securities AML Privacy) including with a focus on Luxembourg AIFMD Ireland UCITs and Cayman feeders;
• Have familiarity with applying a Regulatory Compliance Management Framework;
• Demonstrate expert knowledge of governance risk and control procedures strategies and approaches;
• Be a highly motived individual with a proven track record to delivering results;
• Possess strong problem-solving skills and the ability to proactively identify risks/issues and recommend solutions;
• Have strong leadership persuasion presentation and communication skills;
• Excellent written and verbal communication skills.
• Be able to articulate complex issues in an effective manner
• Exercise sound judgement in making decisions;
• Exhibit a collaborative working style and the ability to facilitate groups with competing agendas to gain consensus and mitigate risks;
• Facilitate effective stakeholder management with a professional approach; ability to interact with all levels within the organization;
• Be self-starter with a high degree of initiative and the ability to learn and adapt quickly;
• Be able to analyze organize and prioritize work while meeting multiple deadlines;
• Be able to produce and present professional presentation material to senior audiences.
• University degree in Business Finance Law or equivalent work experience;
• Experience in the asset management business;
• Advanced governance and risk management Skills;
• An industry designation such as a CFA or MBA would be an asset.

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 investment we make in our colleagues to help them and their families achieve their well-being goals. Total Rewards at TD includes a base salary and several other key plans such as health and well-being benefits including medical coverage paid time off career development and reward and recognition programs.

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.

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

If you require an accommodation for the recruitment / interview process (including alternate formats of materials or accessible meeting rooms or other accommodation) please let us know and we will work with you to meet your needs.