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TD Asset Management (TDAM), a member of TD Bank Financial Group, is a leading North American investment manager offering progressive investment solutions to both institutional and individual investors. For over two decades, the organization has established competitive market positions in active, quantitative and passive portfolio management. As of September 30, 2019, TDAM and its affiliates manage over $389 billion in assets on behalf of pension, insurance, endowment/foundation and corporate clients, as well as high-net worth clients and retail mutual funds. A cornerstone of TDAM\u2019s success has been the ability to partner with its clients to develop customized solutions that meet their evolving needs and objectives.
Within TDAM, the oversight of controls and the management of regulatory and operational risk exposures are managed by the Regulatory & Policy Governance (\u201CRPG\u201D) Group within the business. In order to perform this function, RPG proactively monitors regulatory rule changes and industry practices, prepares polices, educates the business on regulations and operational controls, monitors control effectiveness and acts as Centre's of Excellence supporting the business to improve its control environment.
The primary role of the Associate, Regulatory & Policy Governance is to support the business in its adherence to its regulatory requirements pertaining to its Investment Fund Manager, Portfolio Manager, and Exempt Market Dealer registrations. The position is expected to support the business to ensure appropriate policies, procedures and controls are in place. Reporting to the Vice President & Director, Regulatory Compliance Management, the successful candidate will:
Prepare and maintain key documents supporting regulatory compliance including business policies and associated procedures, as required, ensuring appropriate coordination and communication with stakeholders.
Manage policy and procedure updates and assess and address impacts and gaps related to any ongoing business or regulatory changes.
Work with the business stakeholders to ensure they manage their practices in accordance with policies and procedures.
Work with business stakeholders to develop key controls to adhere to regulatory requirements and vet regulatory mapping of policies and procedures and controls.
Be a subject matter expert on regulatory compliance requirements and interpretation as well as industry best practices related to a Canadian Asset Manager.
Prepare quarterly materials for internal client due diligence meetings.
Support ad-hoc analysis and impact assessment on emerging regulatory compliance risks.
Establish strong relationships and maintain an interaction model with business partners, Compliance, and Legal.
Foster the maintenance of a compliance culture across the businesses.
Liaise with industry associations (Portfolio Management Association, Investment Fund Institute, Investment Company Institute, Investment Adviser Association and Securities Industry and Financial Markets Association) and industry contacts on compliance and policy matters including best practices, analysis, interpretation and execution.
Minimum of 3 years work experience in investments, and/or compliance.
Strong knowledge of portfolio manager, exempt market dealer and investment fund manager (Canada) regulations and operations.
Knowledge of SEC Investment Adviser rules is also beneficial.
Experience writing compliance policies and procedures.
Ability to understand, analyze and interpret legislation.
Ability to apply judgment in ambiguous or unclear situations and to provide recommendations.
Superior written and verbal communication skills.
Demonstrates positive attitude, the ability to work with others and a desire to learn.
Ability to work independently, and resolve problems or issues in a timely manner.
Ability to think critically and comfort with challenging the business.
Superior organizational and time management skills.
University degree in Business, Finance, Law or equivalent work experience.
CSC and/or similar exams.
Relevant industry or risk and compliance experience and/or accreditation is preferred.
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.