Manager II, Governance and Control (Non-Securities) Manager II, Governance and Control  …

TD Bank Group
in Toronto, ON, Canada
Permanent, Full time
Be the first to apply
TD Bank Group
in Toronto, ON, Canada
Permanent, Full time
Be the first to apply
Manager II, Governance and Control (Non-Securities)
Company Overview

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Department Overview

The Regulatory Affairs team is responsible for promoting a sustained culture of regulatory and non-regulatory change management and regulatory adherence by embedding regulatory affairs and oversight in TD Wealth.

The Regulatory Affairs team supports a broader team, the Wealth Shared Services Business Governance & Control team, which is responsible for managing the overall risk management and governance portfolio for TD Wealth. The team is responsible for ensuring timely and consistent implementation - across the Wealth businesses - of all risk, control and governance programs, initiatives, policies and standards. As such, a Manager on the Regulatory Affairs will also be expected to frame their work in the context of risk management generally.
Together with our control partners and stakeholders, this team is responsible for the intake, interpretation and solution with an end-to-end process to facilitate effective roll out of new or enhanced policies/procedures/ changes as applicable, as well as the implementation of any contemplated regulatory oversight into business as usual processes.

Job Description

The Manager will be handling regulatory changes and wealth business initiatives pertaining to regulatory activities for registered entities. The goal of the team is to (i) intake and scope changing regulations related to financial services and dealer activities, (ii) provide guidance to the Wealth business (both as a Dealer and Financial Entity) on projects with regulatory considerations, and (iii) to promote a sustained culture of best practices through the appropriate intake of issues and operationalizing solutions.

The successful candidate should have experience in at least some of the following regulatory areas and may be expected to learn more about additional regulations in-role: the wealth management business and applicable regulations, deposit insurance, consumer protection, privacy, anti-money laundering, etc.

In this role, the successful candidate will liaise with TD Wealth partners, including Accounts Operations, Compliance and Legal, as well as our affiliate, TD Securities Inc. The candidate will also be expected to work in alignment with control groups in different segments of the TD Bank enterprise.

Ultimately, we are looking for a self-motivated and innovative individual who excels in a fast paced, often ambiguous and high-impact business team. The successful candidate will be expected to learn on their feet and to take initiative on projects they lead.


  • Minimum 3-5 years of experience with compliance in retail bank and/or dealer segments of TD Enterprise and/or in industry
  • Undergraduate degree required. Graduate, LLB or JD degree(s) would be an asset
  • Strong interpersonal and teamwork skills
  • Strong verbal and written communication skills
  • Ability to think critically and analyze a great deal of information quickly
  • Ability to work in a fast-paced, detail-oriented environment and manage multiple deadlines and priorities
  • Ability to deal effectively with senior officers within TD and influence decision-making (strategic thinking and advocacy skills
  • Demonstrated experience reading legislation and regulations (a legal background is an asset, but not required);
  • Demonstrated experience drafting and/or revising policies and procedures;
  • Strong understanding of broker dealer entities and financial entities, and the distinction between them;
  • Experience with regulatory regimes that impact financial entities and securities dealers, as set out above (banking regulations, consumer protection, privacy, anti-money laundering);
  • Working knowledge of TD Wealth Management products, policies, and practices;
  • Strong time-management and organizational skills to manage multiple deadlines and priorities within a highly demanding environment;
  • Entrepreneurial and 'self-motivated' work ethic: critical thinking and novel solutions will often be required as regulatory changes are a new facet of existing laws;
  • Detail-oriented aptitude to follow up on items and determine appropriate steps for timely resolution;
  • Excellent written and verbal communication skills, including the ability to present in front of large and small groups;
  • Well-developed writing skills to articulate ideas that involve interpretation, analysis and assessment of complex conceptual subjects;
  • Solid knowledge of risk assessment process and methods, including creating dashboards for executive-level audiences.




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.