Compliance Business Oversight Manager - Global Asset Management
Work Location
: London, United Kingdom
Hours:
35
Line of Business:
Compliance
Pay Details:
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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 Carribean
- 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
Not included in the source posting: about the role, what you'll do, benefits.
Who can apply
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