Work Location:Toronto, Ontario, Canada
Hours:37.5
Line of Business:Compliance
Pay Details:$115,600 - $163,200 CAD
Job Description:Preferred QualificationsWe are looking for a Senior Manager, Compliance - Corporate & Investment Banking Compliance Advisory to join our team in Canada. The ideal candidate must have compliance experience in the investment banking space, preferably in an advisory capacity. The Senior Manager will assist in the management of the firm's compliance program supporting Corporate & Investment Banking functions, including Debt and Equity Capital Markets.
Responsibilities- Provide day-to-day strategic advice and guidance to front office and relevant control functions regarding public and private offerings of equity and debt securities.
- Assist in the development and build out of a global Investment Banking Compliance program across Canada, US, Europe, and Asia Pacific.
- Monitor and identify regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to Investment Banking Compliance.
- Ensure day-to-day activities of the Investment Banking Compliance team are conducted in a manner consistent with the Bank's risk culture and the relevant risk appetite statement and limits.
- Responsible for analyzing and scoping the impact of new and complex regulatory and compliance developments.
- Advise on complex transactions, including cross-border activity, identifying regulatory risks and appropriate mitigation strategies.
- Participate in industry groups and trade association working groups or other forums.
- Accountable for the investigative process related to possible instances of non-compliance and ensures escalation to the appropriate teams/individuals for remediation or corrective actions as required.
- Assist with development and delivery of training programs for front office personnel and relevant control personnel.
Position Requirements- 8-12+ years of compliance advisory experience. Similar experience with a regulator or law firm will be considered.
- Experience in providing legal, regulatory, or compliance advice to investment banking and capital markets businesses.
- Knowledge of Corporate & Investment Banking and Capital Markets activities, including Debt and Equity Capital Markets.
- Strong knowledge of applicable Canadian securities laws, rules and regulations, including provincial securities commissions and CIRO, with the ability to assess firm impact.
- Familiarity with U.S. regulatory frameworks (e.g., SEC, FINRA) and cross-border considerations is an asset.
- Excellent oral and written communication skills.
- Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced and high-pressure environment.
- Ability to project confidence and professionalism in dealings with senior business personnel.
- Strong knowledge of technology infrastructure and global booking models.
- Ability to work on multiple projects in a fast-paced environment.
- Ability to work effectively in a global environment; leveraging and sharing best practices and insights with colleagues globally.
- JD, LLB, LLM or equivalent legal/regulatory background is a plus.
Depth & Scope- Works independently and is accountable for managing a specialized compliance area, business or function and leads a team of specialists.
- Subject matter expert for a functional area.
- Key contact for business management, regulators and internal/external auditors, dealing with non-routine information.
- Focuses on short- to mid-range planning (e.g. 6-12 months).
- Manages regulatory reviews including inquiries, audits, and examinations.
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: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.
If you're passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.
We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.
Training & OnboardingWe 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.
We look forward to hearing from you!
Language Requirement (Quebec only):Sans Objet
