Associate, Portfolio Oversight, Derivative Compliance

Associate, Portfolio Oversight, Derivative Compliance Company: TD Location: Toronto, Ontario, Canada Hours: 37.5 per week Line of Business: TD General Pay: $76,800 - $115,200 CAD (salary range varies with experience and qualifications) Job Description: TD Asset Management Inc. (TDAM) is one of Canada’s largest investment management firms, offering a broad suite of investment solutions to institutional, high‑net‑worth, and retail clients. The Investment Performance & Portfolio Oversight (IP&PO) team is responsible for investment governance, risk management, compliance monitoring, and performance analytics across traditional and alternative asset classes. This role supports the compliance monitoring team to ensure portfolios managed by TDAM comply with all applicable regulatory and client investment rules and restrictions. TDAM currently uses the Bloomberg compliance monitoring system to oversee investment rules. Overview of Responsibilities: Maintain effective operation of compliance monitoring systems by developing a solid understanding of Bloomberg AIM and other internal tools. Utilize Bloomberg AIM to monitor compliance rules, test for violations, and analyze results. Oversee the implementation and maintenance of compliance rules across all portfolios. Gain deep understanding of all regulatory and client rules applicable to each account/mandate and ensure accurate, timely coding of investment restrictions. Review all new account rule coding before PMs submit the first trade for synthetic mandates. Remain current on U.S. and Canadian investment management regulations, including the Ontario Securities Act, Canadian NI 81-102, U.S. Investment Companies Act, and U.S. Adviser’s Act. Liaise with Regulatory Policy and Governance, Product, Portfolio Management, Compliance, and Legal teams to ensure new products and derivative use comply with regulations and TDAM’s monitoring principles. Act as an educational resource on Canadian and U.S. regulatory knowledge related to derivative monitoring. Job Requirements / Skills / Qualifications: Ideally, 2+ years’ experience in a similar pre‑post trade compliance role on a buy‑side firm. Solid understanding of investment strategies and asset classes (Equities, Fixed Income, Derivatives). Proficiency with Bloomberg CMGR and VMGR functions or similar compliance monitoring and rule‑coding systems. Ability to analyze, interpret, and implement client and regulatory investment restrictions. Strong communication skills and ability to influence outcomes and simplify complex topics. Strong problem‑solving skills and capacity to confront conflict professionally. Demonstrated ability to work cross‑functionally with employees at all levels. Highly motivated self‑starter capable of meeting deadlines and managing a fast‑paced environment. Programming and database management experience is an asset. Derivative Fundamentals and Options Licensing Course (DFOL) is an asset. Holding or working toward a CFA designation is considered an asset. **Position will be filled as an Analyst or Associate depending on experience level** **4 days required in the office** Who We Are: TD is one of the world’s leading global financial institutions and the fifth largest bank in North America by branches. We deliver customer experiences to over 27 million households and businesses in Canada, the United States, and globally. We are guided by our vision to "Be the Better Bank" and our purpose to enrich the lives of our customers, communities, and colleagues. Our Total Rewards Package: Our Total Rewards package includes a base salary, variable compensation, and benefits such as health and well‑being plans, retirement savings, paid time off, banking benefits, career development, and recognition programs. Additional Information: This opportunity is subject to provincial employment regulation in Canada. We welcome applicants from all backgrounds and are committed to equal opportunity employment. Accommodation: We provide accessibility accommodations for interview and working arrangements as needed. We look forward to hearing from you #J-18808-Ljbffr