Senior Manager, Compliance - Corporate & Investment Banking Compliance Advisory (Canada) (5181)

Senior Manager, Compliance - Corporate & Investment Banking Compliance Advisory (Canada) (5181) at TD Bank in Toronto, Canada.

Responsibilities

• Provide day-to-day strategic advice and guidance to front office and relevant control functions regarding public and private offerings of equity and debt securities.
• Assist in the development and build out of a global Investment Banking Compliance program across Canada, US, Europe, and Asia Pacific.
• Monitor and identify regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to Investment Banking Compliance.
• Ensure day-to-day activities of the Investment Banking Compliance team are conducted in a manner consistent with the Bank's risk culture and the relevant risk appetite statement and limits.
• Responsible for analyzing and scoping the impact of new and complex regulatory and compliance developments.
• Advise on complex transactions, including cross-border activity, identifying regulatory risks and appropriate mitigation strategies.
• Participate in industry groups and trade association working groups or other forums.
• Accountable for the investigative process related to possible instances of non-compliance and ensures escalation to the appropriate teams/individuals for remediation or corrective actions as required.
• Assist with development and delivery of training programs for front office personnel and relevant control personnel.

Position Requirements

• 8-12+ years of compliance advisory experience. Similar experience with a regulator or law firm will be considered.
• Experience in providing legal, regulatory, or compliance advice to investment banking and capital markets businesses.
• Knowledge of Corporate & Investment Banking and Capital Markets activities, including Debt and Equity Capital Markets.
• Strong knowledge of applicable Canadian securities laws, rules and regulations, including provincial securities commissions and CIRO, with the ability to assess firm impact.
• Familiarity with U.S. regulatory frameworks (e.g., SEC, FINRA) and cross-border considerations is an asset.
• Excellent oral and written communication skills.
• Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced and high-pressure environment.
• Ability to project confidence and professionalism in dealings with senior business personnel.
• Strong knowledge of technology infrastructure and global booking models.
• Ability to work on multiple projects in a fast-paced environment.
• Ability to work effectively in a global environment; leveraging and sharing best practices and insights with colleagues globally.
• JD, LLB, LLM or equivalent legal/regulatory background is a plus.

Depth & Scope

• Works independently and is accountable for managing a specialized compliance area, business or function and leads a team of specialists.
• Subject matter expert for a functional area.
• Key contact for business management, regulators and internal/external auditors, dealing with non-routine information.
• Focuses on short- to mid-range planning (e.g. 6-12 months).
• Manages regulatory reviews including inquiries, audits, and examinations.

Requirements

Preferred Qualifications

We are looking for a Senior Manager, Compliance - Corporate & Investment Banking Compliance Advisory to join our team in Canada. The ideal candidate must have compliance experience in the investment banking space, preferably in an advisory capacity. The Senior Manager will assist in the management of the firm's compliance program supporting Corporate & Investment Banking functions, including Debt and Equity Capital Markets.

• Language Requirement (Quebec only)
• Sans Objet

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Benefits

• We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home.
• Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

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.

• If you're passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.
• We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.

Training & Onboarding

• We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.
• Toronto, Ontario, Canada
• 37.5
• Compliance

About the Company

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 strive to make every interaction, product, and experience remarkably human and refreshingly simple for 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 foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities.

Our Total Rewards Package

Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical, and mental well-being goals. Total Rewards at TD includes a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs. Learn more

Additional Information

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

Your accessibility is important to us. Please let us know if you'd like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you!