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About the Role

We are looking for a Senior Manager, Compliance – Corporate & Investment Banking Compliance Advisory to join our team in Canada. The ideal candidate must have compliance experience in the investment banking space, preferably in an advisory capacity. The Senior Manager will assist in the management of the firm’s compliance program supporting Corporate & Investment Banking functions, including Debt and Equity Capital Markets.

Responsibilities

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.
Assist in the development and build out of a global Investment Banking Compliance program across Canada, US, Europe, and Asia Pacific.
Monitor and identify regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to Investment Banking Compliance.
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.
Analyze and scope the impact of new and complex regulatory and compliance developments.
Advise on complex transactions, including cross-border activity, identifying regulatory risks and appropriate mitigation strategies.
Participate in industry groups and trade association working groups or other forums.
Investigate possible instances of non-compliance and ensure escalation to the appropriate teams/individuals for remediation or corrective actions.
Assist with development and delivery of training programs for front office personnel and relevant control personnel.

Requirements

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.
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.

Skills

Compliance advisory
Investment banking
Capital markets
Debt and Equity Capital Markets
Canadian securities laws
U.S. regulatory frameworks
SEC
FINRA
Cross-border considerations
Oral communication
Written communication
Regulatory decision making
Technology infrastructure
Global booking models
Project management
Global collaboration

Location

Toronto, Ontario, Canada

Work Type

Full-time

Experience Level

Senior Manager
8-12+ years

Education Level

JD, LLB, LLM or equivalent legal/regulatory background is a plus

Salary/Compensations

$115,600 - $163,200 CAD

Benefits

Growth opportunities
Skill development
Health and well-being benefits
Savings and retirement programs
Paid time off
Banking benefits and discounts
Career development
Reward and recognition programs
Training programs
Online learning platform
Mentoring programs

About the Company

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.

Equal Opportunity

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.
Your accessibility is important to us. Please let us know if you'd like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.