Advisory Manager

Work Location : Dublin, Ireland Hours: 35 Line of Business: Compliance Base Pay Details: 93,200

• 139,800 EUR

This role is eligible for a discretionary variable compensation award that considers business and individual performance. TD is committed to providing fair and competitive total compensation opportunities to all colleagues. Total compensation is inclusive of the base pay details listed above and opportunity for a variable compensation award specific to this role. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role. Job Description: The Advisory Compliance Director, TDGF will have responsibility for Compliance activities relating to TDGF and Global Markets and Corporate Investment Banking businesses.
• Quickly build an understanding of the business lines, including booking models, products, transaction types and nature of business, covering and providing advice to multiple trading and sales desks.
• Build and maintain relationships with the business, as well as support and control functions. Be able to manage those relationships in a professional manner to maintain Compliance independence.
• Assess new business proposals versus pertinent laws and regulatory requirements including coordinating with global Advisory Compliance teams where required.
• Advise the business and other internal stakeholders regarding interpretation and implementation of new regulatory developments/requirements.
• Act as the point of contact relating to transaction reporting questions from relevant operations and technology teams
• Represent Compliance in transaction reporting related meetings and forums
• Advise on the interpretation of market integrity, conduct and transaction reporting rules across CRD MiFID, MAR, MiFIR, EMIR, and SFTR
• Create and deliver training to the business and other functions as required, covering topics such as transaction reporting, market abuse, trading venue rules and other topics pertinent to specific business lines.
• Creation and review of Advisory Compliance policies and procedures.
• Review and prepare notifications in respect of obligations that may arise for the firm in relation to the Short Selling Regulation, Takeover Panel Rules and Transparency Directive.
• Review escalations of potential market abuse from internal trade surveillance partners, the business and others. Provide analysis and reasoning to senior management as required to assist in escalation decision making, including preparation for potential STOR submissions.
• Assist with responding to any relevant regulatory requests.
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• Minimum of 5-7 years of demonstrated relevant experience in the industry.
• Working knowledge of the applicable requirements of the EU and UK financial services regime, CRD, MiFID II, EMIR, MAR and industry best practices.
• Knowledge and experience of transaction reporting including

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22, EMIR, and SFTR

• To be a self-starter who is able to identify potential areas of risk and be comfortable approaching the business to discuss as required.
• Ability to logically assess and respond to complex queries raised using a risk-based approach to determine the best approach
• Experience of dealing with the Central Bank of Ireland including but not limited to assisting with the responses to thematic inspections and other requests for information
• Be capable of presenting to senior and global stakeholders
• Familiarity with working in a global organisation and collaborating with colleagues across jurisdictions.
• Ability to identify and implement opportunities to automate Compliance processes to deliver controlled and auditable solutions.
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• undefinedundefinedundefinedResponsible for identifying and reporting Operational Risk Events in accordance with policyResponsible, along with all colleagues, to contribute in a positive way to TDGF's reputation and the management of Reputational Risk. Every employee is expected and required to follow ethical practices at all times, including compliance with applicable policies, legislation and regulations and support positive interactions with TDGF's stakeholders including clients, industry bodies, industry participants, public bodies, regulators and vendors.Responsible for good conduct and for contributing to the identification and management of Conduct Risk within their team and function undefined You must observe proper standards of market conduct. It is your responsibility to demonstrate that you take reasonable steps to be fully aware of, understand and comply with all regulatory requirements from all regulatory bodies that are applicable to your business. You will promptly report to your supervisor(s) or manager(s) any instances in which you are aware of any violation or possible violation of such regulatory requirements by yourself or others. In particular, as a Controlled Function for the purposes of the CBI's Fitness and Probity Regime (F&P), you must be aware of and comply with your obligations under these regimes. The F&P Standards require that a person must be: Competent and capable; Act honestly, ethically and with integrity; and Be financially sound. Central Bank of Ireland Conduct Standards In addition to the responsibilities set out in this job description and the corresponding Statement of Responsibilities, as well as TD’s own policies and procedures (see below), you required to comply at all times with the CBI Conduct Standards. The following Conduct Standards apply to you: Common Conduct Standards: · Acting with Honesty and Integrity· Acting with Due Care and Diligence· Co-operating in Good Faith and Without Delay· Acting in the Best Interests of Customers and Treating Them Fairly and Professionally· Operating in Compliance with Standards of Market Conduct and Trading Venue Rules​ Additional Conduct Standards: (PCF and CF1s) · that the business of the regulated financial service provider is controlled effectively​· that the business of the regulated financial service provider is conducted in accordance with its obligations under financial services legislation​· that any delegated tasks are assigned to an appropriate person with effective oversight. ​· that any information of which the Central Bank would reasonably expect notice in respect of the business of the regulated financial service provider is disclosed promptly and appropriately to the Central Bank including information relevant to, or giving rise to a suspicion or expectation of, any of the following:​ (i) commission of an offence by the regulated financial service provider or a person performing a controlled function in relation to it; (ii) commission of a prescribed contravention or any other breach of obligations under financial services legislation by the Guidance on the Individual Accountability Framework Central Bank of Ireland Page 111 regulated financial service provider or a person performing a controlled function in relation to it; (iii) concealment or deliberate destruction of evidence relating to a matter referred to in subparagraph (i) or (ii); (iv) provision of false or misleading information to the Bank relating to a matter referred to in subparagraph (i) or (ii); (v) obstruction or impeding of an investigation relating to a matter referred to in subparagraph (i) or (ii); (vi) commencement of legal proceedings by or against the regulated financial service provider arising from its obliga