At a Glance
- Tasks: Lead global compliance initiatives for TD Asset Management, focusing on APAC and Caribbean regulations.
- Company: Join TD Securities, a top global financial institution with a commitment to client experience.
- Benefits: Enjoy competitive salary, health benefits, career development, and a supportive work environment.
- Other info: Inclusive workplace with opportunities for growth and professional development.
- Why this job: Make a real impact in compliance while working with diverse teams across the globe.
- Qualifications: 7+ years in compliance or risk management; strong analytical and problem-solving skills required.
The predicted salary is between 75600 - 92400 £ per year.
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 Caribbean
- 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.
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.
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 (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.
Compliance Business Oversight Manager - Global Asset Management in London employer: TD Bank
TD Securities is an exceptional employer, offering a dynamic work environment in London that fosters professional growth and development. With a strong commitment to diversity and inclusion, employees benefit from comprehensive training programs, competitive compensation, and a supportive culture that values collaboration and innovation. Join us to make a meaningful impact in the Technology Investment Banking sector while enjoying a robust rewards package that prioritises your well-being and career advancement.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Business Oversight Manager - Global Asset Management in London
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like TD Bank looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Business Oversight Manager - Global Asset Management in London
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at TD Bank. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at TD Bank
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with TD Bank’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
