Associate, Marketing Governance – TDAM Global Regulatory

Overview Associate, Marketing Governance – TDAM Global Regulatory & Policy at TD Securities. TD Asset Management Inc. (TDAM) is a leading Canadian investment manager, with global reach. The role reports to the VP & Director, Marketing Governance and is part of the Global Regulatory & Policy Governance (RPG) team, within the first line of defense under TD’s three lines of risk management. About the Role The Associate will join TDAM Global Regulatory & Policy Governance and be responsible for the ongoing review, surveillance, and testing of TDAM sales communications across multiple mediums, including but not limited to advertisements, newsletters, mailings, podcasts, videos, trade show booths, social media posts, websites, brochures and posters. The role supports both retail and institutional channels with a focus on compliance, risk mitigation, and continuous improvement of marketing governance processes. Key Responsibilities Marketing Review & Surveillance: Review and assess TDAM sales communications for compliance with applicable regulations, internal policies, and brand standards. Ensure communications are fair, accurate, complete, and not misleading; verify that risk disclosures are given equal prominence to benefits and that all required disclaimers and footnotes are included. Post-issuance review of sales communications for prohibited representations, misleading statements, unsubstantiated claims, and inappropriate content. Confirm materials are consistent across collateral, appropriately labeled for their audience, and that distribution controls are in place. Regulatory & Policy Adherence: Apply TDAM sales communications guides to all reviews, including rules on performance data, risk disclosures, use of legal/proper names, and trademark attributions. Ensure compliance with internal approval processes, recordkeeping, and documentation standards for all sales communications. Stay current on regulatory changes and update surveillance/testing procedures as needed. Documentation & Reporting: Maintain up-to-date testing and surveillance logs; prepare reports on findings, trends, and recurring issues for management and compliance oversight; support internal and external audits as required. Collaboration & Training: Collaborate with business partners to resolve deficiencies, clarify requirements, and support the development of compliant sales communications; provide feedback and training on regulatory requirements; contribute to continuous improvement of marketing governance programs, processes, and tools. Qualifications / Skills / Experience 4+ years of experience in compliance, legal, internal audit, regulatory risk management, or related function within the financial services sector. Strong knowledge of Canadian, U.S., or global regulatory requirements for sales communications. University degree/diploma preferred. Canadian Securities Course (CSC) and Conduct and Practices Handbook (CPH) are assets. Excellent written and verbal communication skills; strong attention to detail. Ability to work independently and collaboratively in a fast-paced, deadline-driven environment. Proficiency with Microsoft 365 applications. Bilingual would be an asset. Other Accountabilities: Be engaged in advancing and sustaining an inclusive culture; participate as a team member; ensure ongoing communication on project status; share information and learn from others; 4 days in the office required. Who We Are TD is a leading global financial institution with a strong presence in North America and around the world. We are committed to the customer experience and to supporting colleagues through regular leadership development, mentorship, training programs, and opportunities for growth. Our Total Rewards package includes base salary, variable compensation, health and wellness benefits, retirement programs, paid time off, and other programs to support well-being and development. Additional Information Please be advised that this job opportunity is subject to provincial regulation for employment purposes; regulations may vary by province or territory in Canada. #J-18808-Ljbffr