Senior Manager, Compliance – Corporate & Investment Banking Compliance Advisory – TD Bank, Toronto, ON
Location: Toronto, ON | Company: TD Bank
TD Bank is hiring a Senior Manager, Compliance – Corporate & Investment Banking Compliance Advisory for a full-time, on-site position in Toronto, Ontario. This senior compliance opportunity supports TD’s Corporate and Investment Banking activities, including Debt Capital Markets and Equity Capital Markets operations.
The position is designed for an experienced compliance professional who can provide strategic advice on complex transactions, securities offerings and regulatory developments. The successful candidate will work with front-office leaders, control functions, regulators and colleagues across multiple international markets while helping TD maintain a strong and effective Investment Banking Compliance program.
About This Investment Banking Compliance Position
The Senior Manager will oversee a specialized area of TD’s compliance function and act as a subject matter expert for Corporate and Investment Banking activities. The role involves interpreting Canadian securities requirements, evaluating regulatory risk and helping business teams understand how laws, rules and guidance apply to planned transactions and day-to-day operations.
This is an independent and highly accountable position that may also involve leading a team of compliance specialists. The Senior Manager will serve as an important contact for senior business management, regulators, auditors and other control functions. Much of the work will focus on non-routine issues that require sound judgement, clear documentation and the ability to explain complex compliance decisions.
Key Areas of Responsibility
The position combines daily advisory work with longer-term compliance program development. Responsibilities extend across Canadian investment banking activities and may involve collaboration with TD colleagues in the United States, Europe and the Asia-Pacific region.
Strategic Compliance Advice
Provide practical guidance to front-office personnel and control functions concerning public and private offerings of debt and equity securities, investment banking activities and related regulatory obligations.
Regulatory Monitoring
Track new legislation, rules, enforcement actions, regulatory interpretations and industry guidance that could affect TD’s Corporate and Investment Banking or Capital Markets businesses.
Transaction Review
Advise on complex and cross-border transactions by identifying relevant regulatory concerns, assessing potential exposure and recommending suitable risk mitigation measures.
Program Development
Support the continued development of a coordinated global Investment Banking Compliance program covering Canada and other major markets in which the business operates.
Investigations and Escalation
Help manage investigations into possible non-compliance, document findings and ensure that material issues are escalated to the appropriate teams for corrective action or remediation.
Training and Regulatory Reviews
Contribute to compliance training for business and control personnel while supporting regulatory inquiries, audits, examinations and other formal reviews affecting the function.
Experience and Professional Background
TD is seeking candidates with approximately eight to twelve or more years of compliance advisory experience. Comparable experience gained through a securities regulator or law firm may also be considered. Applicants should have a strong record of advising investment banking, capital markets or similar financial services businesses on legal, regulatory or compliance matters.
Knowledge of Debt Capital Markets, Equity Capital Markets and broader Corporate and Investment Banking activities is important for this position. Candidates should understand Canadian securities legislation, provincial securities commission requirements and CIRO rules. Familiarity with United States regulatory frameworks, including SEC and FINRA requirements, may be useful when evaluating cross-border activity.
Skills That May Help Candidates Succeed
This position requires a combination of technical regulatory knowledge, leadership ability and professional judgement. Candidates must be comfortable working with senior stakeholders and making decisions in situations where the regulatory answer may not always be straightforward.
The ability to analyze new or complex securities requirements, determine their effect on the business and translate them into clear operational guidance.
A practical understanding of investment banking products, securities offerings, capital markets activities, transaction structures and the risks associated with these services.
Strong written and verbal communication skills for advising senior business leaders, working with regulators and documenting defensible compliance decisions.
The confidence to make, support and defend difficult regulatory decisions while balancing legal requirements, business objectives and TD’s established risk appetite.
The ability to manage several priorities and work effectively with colleagues across jurisdictions, time zones, technology environments and global booking models.
Compensation and Working at TD Bank
TD lists a base salary range of $115,600 to $163,200 CAD for this Toronto position. The actual base salary offered may depend on the successful candidate’s experience, job-related knowledge, skills, geographic location and the bank’s organizational requirements. The position is listed as full time, on site and scheduled for 37.5 hours per week.
The published Total Rewards information includes potential variable compensation, health and well-being benefits, savings and retirement programs, paid time off, banking benefits, discounts, career development resources and recognition programs. Eligibility and specific plan details may depend on the position and employment terms. TD also states that training, onboarding, learning resources, mentoring and regular development conversations are available to support colleagues in their roles.
How to Apply
Candidates should review the complete requirements and submit an application through TD Bank’s official careers website. Application materials should clearly demonstrate relevant compliance advisory experience, knowledge of Canadian securities regulation and previous exposure to investment banking or capital markets activities.
The official application deadline is August 31, 2026. TD indicates that selected applicants may be contacted to arrange an interview and that accessibility accommodations can be requested throughout the recruitment process. Joblyz does not collect applications or participate in hiring decisions.