Work Location:
Tokyo, Japan

Hours

40

Line Of Business

TD General

Pay Details

We're committed to providing fair and equitable compensation to all our colleagues.

As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.

Job Description


Role Summary:
TD's asset management entities are members of the TD Bank Financial Group. In Canada, TD Asset Management Inc.

(TDAM) 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.

TDAM provides its investment management services to institutional entities, and it offers its retail mutual funds and ETFs to Canadian retail investors.

Epoch Investment Partners, Inc.

(TD Epoch), an US affiliate of TDAM, offers its investment solutions via private funds and segregated mandates to US institutional entities.

TDAM and TD Epoch through other TD affiliated businesses market their investment solutions to institutional investors internationally and in Japan via its new Japan asset management entity.

The TD Asset Management Entities Global Regulatory & Policy Governance group (RPG), the 1B function within the three lines of defense governance model, provides oversight of controls and management of regulatory and operational risk exposures for the businesses.

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 businesses in the continual improvement in their control environment.

With a comprehensive governance support mandate, 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 the Asset Management Entities' operations and the investment management business.

The Manager, Japan Regulatory & Policy Governance will support the governance for the Japan asset management entity.

The role will support the creation and on-going governance for the intermediation activities happening in Japan on behalf of TDAM and TD Epoch.

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 facilitate the establishment of an appropriate governance and control environment for a Japan legal entity that is facilitating Canada and US distribution operations and will support TDAM and TD Epoch Head Office 1Bs on regional governance requirements.

The role will report to Vice & Director, International Distribution located in London, UK and will liaise with the TDAM and TD Epoch teams in North America.

Accountabilities

Provide governance, operational control and regulatory subject matter expertise and support for the implementation of the Japan asset management entity's activities
Support 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
Provide local on-boarding and legal entity corporate governance
Promote a culture of compliance and strong risk management that aligns with the asset management business' risk appetite
Maintain strong working relationships with internal business partners and stakeholders
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
Maintain a culture of risk management and regulatory rule compliance throughout the Japan asset management entity, supported by preparation of policy manuals and processes in alignment with risk appetite
Act as a governance contact for Third-Party Distributors as required
Prioritize and facilitate the implementation of appropriate TD Bank and TD Wealth practices, and related enhancements
Lead the remediation process in collaboration with the businesses when control gaps are identified and support the business in designing action plans
Ensure timely communication of issues that are relevant to the business and related stakeholders, and encourage good working relationships with internal and external business partners and groups
Work with the Marketing Governance team in Canada to provide expertise on Japan marketing requirements applicable to RFPs, RFIs and presentation materials, and website governance
Support operational and regulatory risk and control strategies by guiding the business through various operational or related regulatory risk, control and change management activities
Provide advice and guidance to stakeholders on governance and regulatory requirements including requirements for intermediation, product distribution, onboarding, registration, and marketing
Provide change management governance in conjunction with the Business Governance and Portfolio Oversight team for changes impacting the Japan asset management entity including representing 1B as a subject matter expert on the project, providing risk and regulatory challenge with relevant stakeholders to ensure risk, control and regulatory considerations are satisfied
Support oversight over business activities by implementing and maintaining a sustainable Supervision Framework that supports effective supervision practices and communication of the business risks, issues, and activities
Provide RPG support on projects and initiatives as required

Job Requirements


The successful candidate must:
Have a solid understanding of the asset management business in Japan and global marketing practices;
Possess expert knowledge of Japan asset management regulatory rules (securities, AML, Privacy, etc.);
Have familiarity with applying a Regulatory Compliance Management Framework;
Demonstrate expert knowledge of governance, risk and control procedures, strategies and approaches;
Be a highly motived individual with a proven track record to delivering results;
Possess strong problem-solving skills and the ability to proactively identify risks/issues and recommend solutions;
Be able to interpret regulatory rules into practical processes and controls;
Have excellent written and verbal communication skills in Japanese and English;
Be able to articulate complex issues in an effective manner;
Have strong leadership, persuasion, presentation and communication skills;
Be able to understand and detect business issues and assess their impacts on business goals and objectives;
Highly developed and demonstrated critical thinking, and analytical skills;
Exercise sound judgement in making decisions;
Exhibit a collaborative working style and the ability to facilitate groups with competing agendas to gain consensus and mitigate risks;
Facilitate effective stakeholder management with a professional approach; ability to interact with all levels within the organization;
Be self-starter with a high degree of initiative and the ability to learn and adapt quickly;
Be able to analyze, organize and prioritize work while meeting multiple deadlines;
Be able to produce and present professional presentation material to senior audiences.

The Successful Candidate Will Have The Following Qualifications

University degree in Business, Finance, Law, or equivalent work experience;
7 to 10 years of experience in the asset management business;
Advanced governance and risk management skills;
Previous Japan asset management senior compliance role experience would be an asset.

Who We Are

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 deliver legendary customer experiences to 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 the Bank, those we serve, and the economies we support.

We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing.

As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking.

Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential.

Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing – and so will you.

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.

Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we're committed to helping you identify opportunities that support your goals.

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.

Show more Show less

---