Company: TD Securities
Location: London, London


Compliance Manager

As a Manager within the Europe and Asia team, you will be instrumental in delivering on major regulatory change projects, educating the business on how to operate within the new guidelines and providing ad-hoc Advisory services to the business at TD Securities. This role will give you exposure to a wide portfolio of regulations, and you will need to have the ability to navigate the UK, EU and Asia-Pacific regulatory environments.


Key Responsibilities:

  • Ensure TD Securities identifies and satisfies its regulatory obligations in the region (UK, EU and Asia-Pacific).
  • Strategic and proactive management and implementation of key regulatory change in line with TD Securities policies and procedures.
  • Execution of the regulatory change management process, including: actively monitoring regulatory change, identify in-scope regulatory change with actual or potential impact,  tracking regulatory changes where required by policies and procedures, communicating to the appropriate stakeholders key regulatory changes, provide input and compliance advice regarding the implementation of regulatory change (including with respect to regulatory reporting).
  • Understand upstream regulatory changes. This may include drafting response to the regulators and participating in industry groups.
  • Provision of compliance advice to the business including: responding to ad hoc regulatory queries, provision of input to formal projects, new products and business proposals, consideration of reputation risk matters, policy updates, training and assessing regulatory change (including regulatory reporting).
  • Input on various core and advisory compliance processes including: regulatory liaison, audit investigations, reporting, registrations, licensing, gifts & entertainment, employee trading, conflicts, projects and breaches.
  • Facilitating co-ordination between compliance teams in regional offices within Europe & Asia Pacific, and at times with teams in Canada and the United States.
  • Facilitating coordination with other internal control functions as required, e.g. Internal Audit and Operations.
  • Draft new policies and amend existing ones as required by regulatory changes. This will include liaising and leading internal stakeholder groups and presenting to senior management.

Skills and Expertise:

  • 7 + years of working experience in the financial services industry, ideally with experience in two of these fields: Compliance / Audit / Risk Management / Legal
  • CA, CISI or CPA qualification
  • Working knowledge of the EU, UK and Asia-Pacific regulatory environment
  • Excellent stakeholder management acquired through change delivery project, or audit reviews, or litigation / investigations
  • Experience with managing junior members of the team
  • Experience drafting Compliance policies and executing Compliance training
  • Excellent verbal and written communication skills across a variety of audiences
  • Ability to progress tasks independently and demonstration of resilience to setbacks
  • Familiarity with project management approaches

Competitive Salary and Benefits Package.

  • Opening Date: 13 September 2019
  • Closing Date: 13 October 2019