Advisory Manager

Work Location:

Hours:

Line of Business:

Base Pay Details:

TD is committed to providing fair and competitive total compensation opportunities to all colleagues. Total compensation is inclusive of the base pay details listed above and opportunity for a variable compensation award specific to this role. 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.

Job Description:

The Advisory Compliance Manager, TDGF will have responsibility for Compliance activities relating to TDGF and Global Markets and Corporate Investment Banking businesses

Specific Responsibilities:

• Quickly build an understanding of the business lines, including booking models, products, transaction types and nature of business, covering and providing advice to multiple trading and sales desks.
• Build and maintain relationships with the business, as well as support and control functions. Be able to manage those relationships in a professional manner to maintain Compliance independence.
• Assess new business proposals versus pertinent laws and regulatory requirements including coordinating with global Advisory Compliance teams where required.
• Advise the business and other internal stakeholders regarding interpretation and implementation of new regulatory developments/requirements.
• Act as the point of contact relating to transaction reporting questions from relevant operations and technology teams
• Represent Compliance in transaction reporting related meetings and forums
• Advise on the interpretation of market integrity, conduct and transaction reporting rules across CRD MiFID, MAR, MiFIR, EMIR, and SFTR
• Create and deliver training to the business and other functions as required, covering topics such as transaction reporting, market abuse, trading venue rules and other topics pertinent to specific business lines.
• Creation and review of Advisory Compliance policies and procedures.
• Review and prepare notifications in respect of obligations that may arise for the firm in relation to the Short Selling Regulation, Takeover Panel Rules and Transparency Directive.
• Review escalations of potential market abuse from internal trade surveillance partners, the business and others. Provide analysis and reasoning to senior management as required to assist in escalation decision making, including preparation for potential STOR submissions.
• Assist with responding to any relevant regulatory requests.

Desired Skills and Experience:

• Minimum of 5-7 years of demonstrated relevant experience in the industry.
• Working knowledge of the applicable requirements of the EU and UK financial services regime, CRD, MiFID II, EMIR, MAR and industry best practices.
• Knowledge and experience of transaction reporting including MIFIR RTS 22, EMIR, and SFTR
• To be a self-starter who is able to identify potential areas of risk and be comfortable approaching the business to discuss as required.
• Ability to logically assess and respond to complex queries raised using a risk-based approach to determine the best approach
• Experience of dealing with the Central Bank of Ireland including but not limited to assisting with the responses to thematic inspections and other requests for information
• Be capable of presenting to senior and global stakeholders
• Familiarity with working in a global organisation and collaborating with colleagues across jurisdictions.
• Ability to identify and implement opportunities to automate Compliance processes to deliver controlled and auditable solutions.

Risk Management Responsibilities:

• Responsible for identifying and reporting Operational Risk Events in accordance with policy

• Responsible, along with all colleagues, to contribute in a positive way to TDGF's reputation and the management of Reputational Risk. Every employee is expected and required to follow ethical practices at all times, including compliance with applicable policies, legislation and regulations and support positive interactions with TDGF's stakeholders including clients, industry bodies, industry participants, public bodies, regulators and vendors.

• Responsible for good conduct and for contributing to the identification and management of Conduct Risk within their team and function.

Who We Are:

TD Securities 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 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.

Additional Information:

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.

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.

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.

Who We Are

TD Securities 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 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.

Additional Information:
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.
 
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.
 

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.