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

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.

• 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.

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.

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  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.

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  Assist in the development and build out of a global Investment Banking Compliance program across Canada, US, Europe, and Asia Pacific.

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  Monitor and identify regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to Investment Banking Compliance.

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  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.

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  Responsible for analyzing and scoping the impact of new and complex regulatory and compliance developments.

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  Advise on complex transactions, including cross-border activity, identifying regulatory risks and appropriate mitigation strategies.

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  Participate in industry groups and trade association working groups or other forums.

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  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.

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  Assist with development and delivery of training programs for front office personnel and relevant control personnel.

• 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.

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.