Associate, Marketing Governance – TDAM Global Regulatory

Description TD Asset Management Inc. (TDAM), a member of the TD Bank Group, is a leading Canadian investment manager offering progressive investment solutions to both institutional and individual investors in Canada and globally. TDAM provides its investment management services to institutional entities and offers retail mutual funds and exchange‑traded funds (ETF) to Canadian retail investors. Epoch Investment Partners, Inc. (TD Epoch), an U.S. affiliate of TDAM, offers its investment solutions via private funds and segregated mandates to U.S. institutional entities. Additionally, TDAM and TD Epoch markets their investment solutions through other TD‑affiliated businesses to institutional investors in the U.K., Europe, and Asia‑Pacific. As of Sep 30, 2025, TDAM and TD Epoch manage over $500 billion in assets on behalf of pension, insurance, endowment/foundation, corporate clients, high‑net‑worth clients and retail funds. For more information, please refer to our public website: . About the Role The Associate, Marketing Governance, will join TDAM Global Regulatory & Policy Governance (RPG) and report to the VP & Director, Marketing Governance. RPG is part of TDAM's first line under TD's Three Lines of Defense risk model, providing oversight of controls and management of regulatory and operational risk exposures for the TDAM and TD Epoch businesses. This includes the creation and distribution of sales communications as defined under National Instrument 81‑102. The Associate will be responsible for the ongoing review, surveillance, and testing of TDAM sales communications across various mediums, including but not limited to: advertisements, newsletters, mailings, podcasts, videos, trade show booths, social media posts, websites, brochures and posters. The Associate will support 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, TDAM internal policies, and TD brand standards. Ensure all 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 that all materials are consistent across different collateral, appropriately labeled for their intended audience and that distribution controls are in place. Regulatory & Policy Adherence Apply the requirements of TDAM’s sales communications guides to all reviews, including rules on performance data, risk disclosures, use of legal/proper names, and trademark attributions. Ensure compliance with TDAM’s internal approval processes, recordkeeping, and documentation standards for all sales communications. Stay current on regulatory changes and update surveillance and 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, guidance, and training to business partners on regulatory and procedural requirements for sales communications. Contribute to the 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 a unique, inclusive culture that reflects TD's diversity agenda, and creates an extraordinary employee experience. Participate fully as a member of the team and contribute to a positive work environment. Ensure ongoing communication with the team on the status/progress of projects, issues and other points of interest. Actively share information and knowledge and proactively learn from the expertise of others. 4 Days required in the office Who We Are TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues. TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals. As an organization, we keep growing – and so will you. Our Total Rewards Package Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical, and mental well‑being goals. Total Rewards at TD includes a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs. Additional Information We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home. Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements. Colleague Development If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals. Training & Onboarding We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role. Interview Process We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call. Accommodation Your accessibility is important to us. Please let us know if you’d like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process. Language Requirement (Quebec only) Maîtrise d’une langue autre que le français pour offrir du soutien ou traiter avec des employés ou des collègues qui ont besoin de services et de soutien dans une langue autre que le français. #J-18808-Ljbffr