Work Location:Toronto, Ontario, Canada
Hours:37.5
Line of Business:Governance & Control
Pay Details:$81,600 - $115,200 CAD
TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.
As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.
Job Description: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 ResponsibilitiesMarketing Review & Surveillance:
- Review and assess sales communications for compliance with applicable regulations, 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 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 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.
Our Total Rewards PackageOur 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. Learn more
Additional Information: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.
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.
