Work Location:Toronto, Ontario, Canada
Hours:37.5
Line of Business:TD General
Pay Details:$96,900 - $136,800 CAD
Job Description:Department Overview:TD Asset Management Inc. (TDAM) is a North American investment manager offering progressive investment solutions to investors globally. For over two decades, TDAM established competitive market positions in active, quantitative, enhanced, and alternatives portfolio management. TDAM offers a diverse range of over 120 investment solutions and manages retail mutual funds and ETFs in Canada for over 1.9 investors. TDAM provides its investment management services to institutional entities, and it offers its retail mutual funds and ETFs to Canadian retail investors through TD Canada Trust branches, TD Wealth affiliates, and other leading investment dealers, independent brokers, advisors, and financial planners.
The TDAM Regulatory & Policy Governance group, the TDAM 1B function within the three lines of defense governance model, provides oversight of controls and management of regulatory exposures for the TDAM business. With a comprehensive governance support mandate at TDAM, RPG is a group comprised of a wide array of subject matter experts and is an excellent place for risk/compliance professionals to deepen their knowledge of TDAM's operations and the investment management business.
Job Description:The Manager, Regulatory & Policy Governance provides governance support to the TDAM business for non-securities regulations. The successful candidate serves as a subject matter expert to support TDAM in its adherence to the applicable regulatory and TD's internal requirements in topics that include, privacy, FATCA/CRS, and registered products. Other backup responsibilities may include other topics such as accessibility, CASL, francization, complaints, conduct risk, and others, as assigned.
Reporting to the Vice President & Director, Regulatory & Policy Governance (Non-Securities Regulations), the successful candidate will:
- Provide governance, operational control, and regulatory subject matter expertise and support for the non-securities regulatory activities of TDAM;
- Act as the subject matter expert for Canadian Privacy rules and regulations for the TDAM business;
- Serve as the primary Privacy Designate at TDAM to review and challenge the privacy impact assessments from the TDAM business as part of its normal operations, as well as the handling and reporting of privacy events, and coordinate with global counterparts, as assigned/required;
- Support within TDAM the identification, understanding and implementation of requirements pertaining to Canadian privacy, FATCA/CRS, and for registered products;
- Support the Regulatory Compliance Management ("RCM") Program for non-securities regulatory activities in accordance with the RCM Standards on behalf of TDAM, including the maintenance of the regulatory library, control design and implementation, control mapping, monitoring and implementation of regulatory changes, identification and management of regulatory issues
- Promote a culture of compliance and strong risk management that aligns with the TDAM business' risk appetite;
- Maintain strong working relationships with internal business partners and stakeholders;
- Provide regulatory and operational control guidance to the TDAM business on their processes impacted by non-securities regulations
- Develop and maintain policies and procedures supporting TDAM's compliance with non-securities regulations
- Provide training on non-securities regulatory requirements to TDAM business as required
- Establish and maintain strong working relationships with control partners from the second line functions through regular interactions; and
- Provide support on other non-securities regulations topics, as appropriate.
Qualifications/Skills/Experience- 10+ years of relevant working experience
- Proven effective verbal and written communicator
- Ability to work in a collaborative setting, as well as independently under guidance
- Risk management and/or compliance experience from an asset management setting is beneficial
- Experience as a privacy designate is preferred
Specific Educational Requirements/Accreditations- University degree, preferably in business, finance, or law
- No industry certifications and designations required but will be considered
Language Requirement (Quebec only):Sans Objet
