Senior Manager TDAM Compliance Oversight
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Lead compliance advisory and second line oversight for TD Asset Management from Toronto, supporting regulatory controls across international jurisdictions.
TD Wealth Compliance seeks a Senior Manager, Business Compliance Oversight reporting to senior compliance leaders. The role advises TDAM stakeholders, manages regulatory change, and addresses compliance risks across Canada, the UK, EU, APAC, and Caribbean. It supports effective controls and processes.
Key Responsibilities:
- Provide compliance advice on TDAM activities and regulatory matters
- Lead assigned Regulatory Compliance Management activities and testing
- Assess regulatory changes, emerging risks, and industry developments
- Support examinations, investigations, audits, inquiries, and complaints
- Develop policies, controls, processes, and compliance reporting
Requirements:
- Undergraduate degree and Canadian securities industry courses
- 10+ years of relevant Asset Management experience
- Expertise in PM, EMD, IFM, and institutional clients
- Strong influence, presentation, writing, and management reporting skills
- Ability to work independently and make sound decisions
Apply your Asset Management expertise, regulatory judgment, and oversight skills to TDAM compliance in Toronto and international markets.
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