Manager, Compliance

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Department Overview TD Investment Services Inc. (TDIS) Compliance provides ongoing regulatory support for TD Bank Group's principal distributor of TD Mutual Funds, TD Investment Services Inc., a mutual fund dealer member with the Mutual Fund Dealers Association of Canada.  A key component of our compliance program is the supervision and oversight of sales activities of TDIS registered Mutual Fund Representatives and Registered Branch Managers located at TD Canada Trust branches, within TDBG's Phone and Online delivery channels, and those who serve mutual fund clients via TD Wealth Private Banking and Private Trust.  Supervision and oversight is primarily conducted through our Branch Visit Program and through daily surveillance of trading activity.  In addition, TDIS Compliance monitors various activities and controls at the Back Office/Operations level.  As TDIS is the primary distributor of TD Mutual Funds, TDIS Compliance also provides support for various initiatives managed by the Product Group, where TDIS is impacted. Time Type Full Time Employment Type Regular Hours 37.5 Business Line Corporate Job Family Compliance Business Oversight Job Category - Primary Anti-Money Laundering | Compliance & Regulatory Relations Job Category(s) Anti-Money Laundering | Compliance & Regulatory Relations Job Description Reporting to the Chief Compliance Officer (CCO) of TDIS, the Manager, Compliance will be the primary designated Alternate CCO for TDIS, supporting  the evolution of the Compliance Regulatory Change Management program.  They will work closely with a broad array of stakeholders and senior leaders in Compliance, Governance & Control, Legal and the business units to identify and lead the Compliance program through regulatory changes by working both independently and collaboratively with the department.

Key accountabilities include, but are not limited to:
• Lead and develop the TDIS Registrations department
• Working closely with the CCO TDIS to provide representation on their behalf where appropriate as the designated Alternate CCO including attendance of Business Unit specific committees and/or meetings, and preparation and reporting of Business Unit impact assessments or TDIS Board Reports
• Manage an effective Conflict of Interest program under TDIS, including the identification of items and maintaining escalation and remediation processes
• Act as TDIS Compliance SME and liaison on assigned engagements/projects as directed by the CCO TDIS
• Liaise with Legal in the management of complex regulatory investigations including working with external counsel in prepartion for regulatory interviews
• Provide guidance to Registrations relating to MFDA Notice of Terminations where required
• Be the source of regulatory information, advice and guidance for TDIS Compliance by identifying new and evolving laws, regulations and regulatory polices and/or emerging risks applicable to the line of business, working with partners to interpret potential impacts, conduct risk assessments, and identify necessary operational changes
• Maintain strong, collaborative relations with the various Compliance teams, corporate partners, businesses and support teams
• Lead Technology and Innovation initiatives under TDIS
• Participate in industry working groups and attend relevant seminars and other industry events Job Requirements • Meet the minimum requirements to be designated as an Alternate Chief Compliance Officer including having:
     ◦ Passed the Canadian Securites Course Exam (CSC) or equivalent;
     ◦ Passed the Chief Compliance Officer's Qualifying Exam or equivelent; and
     ◦ Gained 12 months of relevent securities industry experience in the 36-month period before applying for registration
• Completion of post-secondary education is a requirement with preference to backgrounds in Law
• Regulatory, compliance and/or risk management experience is highly desirable with preference for candidates who can demonstrate development and/or implementation of regulatory change management
• Analytical and problem-solving skills, including ability to interpret laws and regulations, synthesize the information, and articulate of their potential business, operational and risk impacts
• Demonstrated excellence in business presentations skills both written and orally, with the ability to represent TDIS Compliance with poise and professionlism with stakeholders across the enterprise and externally with regulators and industry peers
• Proven people leadership skills with the ability to define and articulate vision and engage in support of department goals including working collaboratively across multiple leadership teams
• Ability to work independently with support of the CCO on key issues including working collaboratively across multiple leadership teams
• Bilingual in French, both written and oral, would be an asset 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. 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.


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