Manager, Regulatory & Policy Governance

Work Location

London, United Kingdom

35

TD General

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TD Asset Management Inc. (TDAM), a member of the TD Bank Financial Group, is a leading Canadian investment manager offering progressive investment solutions to both institutional and individual investors in Canada and globally. For over two decades, TDAM established competitive market positions in active, quantitative, enhanced, and alternatives portfolio management.

TDAM offers a diverse range of over 120 investment solutions and manages retail mutual funds, ETFs and Liquid Alternative Funds in Canada for over 1.9 investors. TDAM provides its investment management services to institutional entities, and it offers its retail mutual funds and ETFs to Canadian retail investors through TD Canada Trust branches, TD Wealth affiliates, and other leading investment dealers, independent brokers, advisors, and financial planners.

The TDAM Regulatory & Policy Governance group (RPG), the TDAM 1B function within the three lines of defense governance model, provides oversight of controls and management of regulatory and operational risk exposures for the TDAM business. RPG proactively monitors regulatory rule changes and industry practices, prepares policies, educates on regulations and operational controls, monitors control effectiveness, and serves as the Center of Excellence in supporting the TDAM business in the continual improvement its control environment.

With a comprehensive governance support mandate at TDAM, RPG is a group comprised of a wide array of subject matter experts and is an excellent place for risk/compliance professionals to deepen their knowledge of TDAM's operations and the investment management business.

The Manager, International Product and Portfolio Management Governance role will support the international asset management ("IAM") activities for the TD asset management businesses (including TDAM, Epoch Investment Partners, Inc. ("TD Epoch") and Epoch Investment Partners UK, Ltd. ("TD Epoch UK")). The role will support the creation and on‑going governance of portfolio management activities outside of Canada and the US as well as investment products with an initial focus on Luxembourg AIFMD, Ireland UCITS, Cayman feeders.

The role will provide advice and guidance on sustainable commercial strategies within an appropriate supervisory and governance model that is aligned to TD Bank and TD Wealth's policies, risk appetite and international regulatory requirements.

This role will help provide guidance and support to TDAM and TD Epoch Head Office 1

Bs on international product and portfolio management requirements. The role will liaise with the TD Epoch and TDAM teams in North America, as well as affiliated entities that support IAM activities.

• Provide governance and subject matter expertise for the following:
• Luxembourg AIFMD and Ireland UCITs product regulatory rules;
• Luxembourg AIFMD and Ireland UCITs product regulatory rules that apply to the AIFM and provide guidance to governance teams in North America on governance oversight for those rules;
• ESG rules including Article 8 and SFDR governance;
• Support AIFMD accountabilities as required;
• Cayman product regulatory rules including supporting the General Partner of the Fund in their Cayman rule accountabilities as required;
• Maintenance of Product Manuals;
• Portfolio management and trading rules of UK/EU that impact portfolio management/trading processes in Canada and US;
• Hong Kong/Singapore/UK portfolio management and trading rules of Hong Kong, UK, Singapore that are applicable to portfolio management staff in Hong Kong, UK and Singapore;
• Be part of a team that supports the Regulatory Compliance Management ("RCM") Program in accordance with the RCM Standards on behalf of the asset management businesses, including the maintenance of the regulatory library, control design and implementation, control mapping, monitoring and implementation of regulatory changes, identification and management of regulatory issues;
• Maintain a regulatory library for rules that apply to third party investment management companies, General Partners of the Funds and the Fund Boards as applicable;
• Promote a culture of compliance and strong risk management that aligns with the asset management business's risk appetite;
• Maintain strong working relationships with internal business partners, stakeholders, and other governance team members in North America;
• Help protect the businesses interests by keeping abreast of business trends, risks, and control management issues and by maintaining a high level of knowledge of existing and emerging risk issues;
• Act as a governance contact for Third-Party Management Company(ies) as required;
• Prioritize and…