Manager, Regulatory & Policy Governance

Work Location: London, United Kingdom

Hours: 35

Line of Business: TD General

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: TD Asset Management Inc. (TDAM), a member of the TD Bank Financial Group, is a leading Canadian investment manager offering progressive investment solutions to both institutional and individual investors in Canada and globally. For over two decades, TDAM established competitive market positions in active, quantitative, enhanced, and alternatives portfolio management. TDAM offers a diverse range of over 120 investment solutions and manages retail mutual funds, ETFs and Liquid Alternative Funds in Canada for over 1.9 million investors. TDAM provides its investment management services to institutional entities, and it offers its retail mutual funds and ETFs to Canadian retail investors through TD Canada Trust branches, TD Wealth affiliates, and other leading investment dealers, independent brokers, advisors, and financial planners.

The TDAM Regulatory & Policy Governance group (RPG) provides oversight of controls and management of regulatory and operational risk exposures for the TDAM business. RPG proactively monitors regulatory rule changes and industry practices, prepares policies, educates on regulations and operational controls, monitors control effectiveness, and serves as the Center of Excellence in supporting the TDAM business in the continual improvement of its control environment.

Accountabilities:

• Provide governance and subject matter expertise for Luxembourg AIFMD and Ireland UCITS product regulatory rules.
• Support AIFMD accountabilities as required.
• Maintain a regulatory library for rules that apply to third party investment management companies, General Partners of the Funds and the Fund Boards as applicable.
• Promote a culture of compliance and strong risk management that aligns with the asset management business's risk appetite.
• Maintain strong working relationships with internal business partners, stakeholders, and other governance team members in North America.
• Help protect the businesses' interests by keeping abreast of business trends, risks, and control management issues.
• Lead the remediation process in collaboration with the businesses when control gaps are identified.
• Ensure timely communication of issues that are relevant to the business and related stakeholders.

Job Requirements:

• Have a solid understanding of the asset management business and global marketing practices.
• Expert knowledge of international asset management regulatory rules including Luxembourg AIFMD, Ireland UCITS and Cayman feeders.
• Demonstrate expert knowledge of governance, risk and control procedures, strategies and approaches.
• Possess strong problem-solving skills and the ability to proactively identify risks/issues and recommend solutions.
• Have strong leadership, persuasion, presentation and communication skills.
• University degree in Business, Finance, Law, or equivalent work experience.
• Experience in the asset management business.
• An industry designation, such as a CFA or MBA would be an asset.

Who We Are: TD 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 deliver legendary customer experiences to 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 the Bank, those we serve, and the economies we support.

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.

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.

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, please let us know and we will work with you to meet your needs.