Manager, Compliance Business Oversight
2 months ago
**TD Description**
Stay current and competitive. Carve out a career for yourself. Grow with us.
**Department Overview**
- The Global Compliance Department is responsible for overseeing Regulatory Compliance across TD Bank Group (TD) in accordance with the Global Compliance Operating Framework. Compliance is responsible for developing and maintaining the processes by which Businesses are made aware of the legislation and regulation, under which they are governed, as well as compliance trends, emerging risk areas and regulatory changes.
- Wealth Compliance works pro-actively with the divisions of TD Waterhouse Canada Inc. (TD Direct Investing, TD Wealth Financial Planning and TD Wealth Private Investment Advice), TD Asset Management Inc. (Portfolio Manager, Investment Fund Manager and Exempt Market Dealer), TD Wealth Private Wealth Management (TD Wealth Private Investment Counsel, TD Wealth Private Trust, TD Wealth Private Banking and TD Waterhouse Insurance Services Inc.), and various other departments within TD that provide support to these businesses. We ensure regulatory compliance; protect the interests of the firm, its employees and clients while supporting the sales and productivity objectives of our business partners.
Reporting to the Senior Manager, Wealth Compliance, the primary responsibilities of the Manager, Wealth Compliance will include:
Provide surveillance and advisory services to TD Asset Management Inc. (TDAM) with respect to compliance with investment management requirements under securities regulations (e.g. NI 81-102, NI 31-103, etc.) and best practices for institutional investment management clients, with particular emphasis on the oversight of the controls designed by TDAM for monitoring compliance with regulatory and client guidelines.
Act as the Compliance surveillance lead responsible for monitoring/testing the design, effectiveness and adequacy of the TDAM 1B's pre
- and post
- trade controls. This includes providing advisory support during the design of new controls, challenging existing controls, ensuring the 1B is addressing alerts and control weaknesses in a timely manner and tracking and monitoring findings related to controls through to remediation.
Build and manage an effective and customized compliance oversight program for TDAM consistent with TD Compliance Standards, to detect and mitigate regulatory violations and breaches of internal policies and procedures relating to regulatory requirements, using a risk-based approach.
Build and maintain strong and collaborative relationships with Compliance teams, control partners, TDAM business and business support teams.
Assist the Senior Manager in meeting all reporting requirements, both internally within Compliance as well as to the businesses and regulators.
Act as Compliance SME for projects with a surveillance focus as directed by the Senior Manager, Wealth Compliance.
Support, from a compliance perspective, the Wealth Compliance advisory team's daily functions and projects that are Pan-Wealth in nature.
Contribute to the overall direction of the Compliance team by ensuring alignment with corporate philosophy and strategic direction while protecting the reputation of TD.
**Job Requirements**
- Minimum 8 years of work experience in the financial services industry, preferably in a compliance or related role (e.g., risk, audit, legal, etc.)
- University degree or Post-graduate degree/diploma
- CSC, CPH and/or other relevant industry exams
- Knowledge of regulations for portfolio manager, exempt market dealer and investment fund manager (Canada) and institutional clients and alternative investments.
- Experience working with automated compliance systems (Bloomberg, Charles River) to design pre-trade and post-trade controls to detect and prevent breaches of regulatory and client-specific guidelines.
- Solid knowledge of trade desk and portfolio management operations
- Solid experience and a proven record working closely with senior management, including providing challenging feedback
- Strong time-management and organizational skills including the ability to manage multiple deadlines and priorities
- Excellent communication skills - written, oral and interpersonal
- Able to work independently and as part of team
- Able to understand and interpret industry regulation and terminology as well as understand how the regulations impact our businesses
- Demonstrates positive attitude, the ability to work with others and a desire to learn.
- Bilingual an asset
**Inclusiveness**
At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live and serve. If you require an accommodation for the recruitment/interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let u
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