Senior Manager, Business Compliance Oversight – TD Asset Management (5136)

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Department Overview TD Wealth Compliance is part of TD Compliance Department, a second line oversight function. It provides regulatory compliance oversight over multiple TD Wealth lines of business. TD Wealth Compliance has an immediate need for a Senior Manager, Business Compliance Oversight to provide compliance advisory and second line oversight of TD Asset Management (TDAM) activities in Canada and international jurisdictions with a focus on Regulatory Compliance Management (RCM), Regulatory Change Program and regulatory reviews.

Reporting to Chief Compliance Officer, TD Asset Management Inc. & AVP, Wealth Compliance, the Senior Manager, Business Compliance Oversight provides compliance advisory and second line oversight of TDAM with a focus on Regulatory Compliance Management (RCM) program and Regulatory Change Program . This role will engage with various stakeholders and advise on delivering effective compliance with changing laws and regulations to help ensure strong compliance controls and processes to mitigate regulatory compliance risks.   The Senior Manager accountabilities will include, but not limited to: Lead the compliance review of applicable regulatory change and lead compliance advocacy efforts related to new and changing laws and regulations that impact TD Asset Management Inc. - Act as subject matter expertise on applicable regulatory change, emerging regulatory risks, trends, best practices, industry or market developments to ensure that anticipated regulatory changes are considered in business activities, strategic plans, policies and processes, and reporting Lead execution of TDAM international regulatory change management program in accordance with TD RCM Program requirements, including end to end regulatory change management with international local compliance advisory, control partners and business stakeholders Lead and execute RCM activities as assigned, which may include but not limited to risk assessment, review and challenge of regulatory inventory & controls, monitoring and testing, training, regulatory relationship management Where assigned, act as the Compliance lead, working with the business and 1B, in response to assigned regulatory examination, investigations, inquiries, questionnaires, field reviews, internal and external audits, and client complaints. Assist CCO in meeting various reporting requirements, both internally within compliance as well as to the businesses and regulators Assess, review and challenge, recommend, develop, draft and/or implement policies, procedures, compliance manuals, processes, controls and/or actions to address regulatory requirements, initiatives, issues Lead or participate in internal, industry or regulatory committees or working groups to represent Wealth Compliance, as assigned, on compliance and policy matters Provide compliance advisory on TDAM activities, including business initiatives, compliance or regulatory matters, regulatory change, regulatory and other audits, issues resolution and/or other assigned projects Collaborate with stakeholders to gather and assess requirements; consider alignment cross