Compliance Business Oversight Manager - Global Asset Management

Work Location:

London, United Kingdom

Hours:

35

Line of Business:

Compliance

Pay Details:

We’re committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.

Job Description:

Provide leadership to ensure the global compliance program that supports the TD Asset Management business aligns to the Regulatory Compliance Management (RCM) program with a focus on Asia-Pacific (APAC) and Caribbean compliance program. The role will require working closely with a broad array of stakeholders in Compliance, Legal and the business in North America, Europe and Asia.

Accountabilities will include, but not be limited to:

• Support Asset Management regulatory compliance management program (RCM) with a focus on APAC and Caribbean compliance program
• Provide compliance advisory and assessments on business initiatives
• Develop, research, draft and maintain compliance-owned materials (policies, procedures).
• Assist in aligning key Compliance policies for the asset management business to enable expanding them for international applicability.
• Be a subject matter expert on sustainable investing for the asset management business.
• Build and maintain effective working relationships within TD Compliance, control partners, Legal and across the Wealth businesses.
• Create and maintain resource and training materials.
• Take the lead on and provide subject matter expertise on a variety of projects, initiatives, and other ad-hoc requests, as assigned.

Job requirements:

• Advanced knowledge of the applicable regulatory requirements for the asset management business in APAC and Carribean
• Experience in compliance or risk management programs and in particular experience and understanding of investment management products and strategies.
• Ability to assess compliance and other risks to prioritize issues and properly balance competing risks and priorities.
• Demonstrated ability to provide actionable advice to assist the business in achieving business goals in a compliant manner.
• Ability to work collaboratively across multiple management teams.
• Strong analytical and problem-solving skills.
• Ability to articulate critical issues for escalation.
• Solid research, investigative and organizational skills.

Specific Educational Requirements / Accreditations

• University or College degree. Law degree (JD/LLB) and/or undergrad degree specializing in investment industry an asset.
• Minimum of 7+ years relevant business, Compliance, Legal or risk management.

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 and creating an environment where every employee has the opportunity to reach their potential.

Who We Are

TD Securities 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 strive to make every interaction, product, and experience remarkably human and refreshingly simple for 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 foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities.

Our Total Rewards Package
Our Total Rewards package reflects the investment we make in our colleagues to help them, and their families achieve their well-being goals. Total Rewards at TD includes a base salary and several other key plans such as health and well-being benefits, including medical coverage, paid time off, 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.
 
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 & 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 

If you require an accommodation for the recruitment / interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.