Senior Manager, Product Due Diligence

4 months ago

Old Toronto, Canada TD Bank Full time
Senior Manager, Product Due Diligence

Location: Canada

Schedule: 37.5 hours per week

Industry: Product Management

Job Description:

The TD Wealth Shelf Management & Investment Research ("SMIR") team is the TD Bank Financial Group's center of excellence and subject matter experts relating to all managed investment products. SMIR's purpose is to run a quality Product shelf to enable our businesses' investment strategies, drive growth, and deliver legendary client experiences within TD Bank's risk appetite. SMIR is responsible and accountable for onboarding and providing oversight for all investment products that are available for sale within TD Wealth along with curating Preferred List strategies across all managed investment product types.

The Senior Manager, Product Due Diligence will be responsible for the curation and management of the TD Wealth Product shelf. The Senior Manager will lead the development and maintenance of all approved products, product due diligence policies and procedures, risk assessment, product monitoring, including the creation, maintenance, and dissemination of product information, as well as ongoing product governance on behalf of TD Wealth. An accountability is to act as a point of contact for product-related inquiries from internal partners and Advisors.

The successful candidate should be able to demonstrate:

  • Expertise within the Canadian investment dealer industry along with developments/challenges/opportunities facing investment dealers and clients.
  • Ability to take initiative and produce results either through independent work or collaborating effectively with a diverse team.
  • Aptitude to communicate and confidently interact with internal and external stakeholders.
  • Ability to gather and share relevant industry product due diligence developments and provide fact-based opinions and recommendations.
  • Oversee and execute the team's reporting accountabilities as well as collaborate on various ad-hoc projects.

Key Accountabilities:

  • Enhance the Product approval standards and procedures to right-size resourcing while ensuring compliance with regulatory and TD Bank requirements.
  • The design and optimization of comprehensive shelf controls, including an end-to-end mapping of current state and roadmap for enhancements.
  • Evolve processes and procedures to accommodate changing industry practices, regulatory environment, and business needs.
  • Evolve the ability to identify, manage, mitigate and avoid risks associated with the Product shelf.
  • Enhance and optimize a quality of Product Shelf under a Regulatory Compliance Management (RCM) framework.
  • Identify and address emerging regulatory themes relevant to product shelves and distribution, leveraging strong background in securities regulatory environment and governance issues.
  • Enable new and evolving Product types and support TD Wealth market-share/profitability growth within its risk appetite.
  • Enhance the Product Due Diligence Database to improve existing product approval workflows to support internal reporting and/or deliver execution excellence.
  • Lead and participate in shelf due diligence and onboarding responsibilities.
  • Assist in the preparation of updates on significant change firm, product and/or market events, including keeping track of new developments and noteworthy market news.

Job Requirements:

  • 10+ years of progressive experience in the financial services industry.
  • Strong understanding of a variety of Product types and Product Due Diligence frameworks.
  • Strong analytical skills along with effective oral and written communication skills.
  • University degree in Economics, Business Administration, Finance, or related fields.
  • CFA Charterholder.
  • CAIA, FRM, Masters Degree would be considered an asset.
  • Proficiency in MS Office (Excel, Word, PowerPoint) is a requirement. Programming skills will be considered an asset.
  • Possess a facility for understanding and finding new systems solutions to enhance the team’s technology and research capability.
  • Well organized, and able to execute well in a multi-task environment.
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