Senior Compliance Business Oversight Analyst (5589)

Work Location:

Toronto, Ontario, Canada

Hours:

37.5

Line of Business:

Compliance

Pay Details:

$81,600 - $115,200 CAD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. 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:

Department Overview

The TD Securities Inc. (TDSI) Compliance Department is responsible for the compliance strategy and oversight programs, including designing and implementing monitoring and supervisory programs for the firm.  This is accomplished by:

• Conducting monitoring and surveillance
• Providing training and education
• Liaising with regulators
• Promoting a compliance culture within the firm
• Taking preventative measures to ensure compliance with the rules and regulations
• Implementing Policies and Procedures designed to achieve compliance with applicable laws and regulations
• Licensing and registration requirements
• Reviewing new business opportunities, such as new products or markets from a compliance perspective

 

Job Description

The Senior Compliance Business Analyst position covering Exchange Traded Products Compliance Advisory is responsible for providing advice and guidance on regulatory requirements and firm policies applicable to the Exchange Traded Products business lines and working closely with the business and internal stakeholders in the development, communication, implementation and ongoing maintenance of policies and procedures to promote compliance with such requirements. The Senior Analyst must be highly responsive in a business environment where decisions must be made in stressful, time sensitive situations and where information is often ambiguous and incomplete. The role is also expected to keep abreast of developments in an ever-changing regulatory environment and their impact on the business. This position will report to the Senior Manager, Compliance Business Oversight.

 

Primary Responsibilities:

• Provide strategic oversight and lead key initiatives, including end-to-end project delivery, remediation of control gaps, and implementation of sustainable process improvements.
• Perform compliance monitoring and reviews for equity and listed derivatives sales and trading.
• Assist with compliance monitoring program for Capital Markets activity including updating the program based on regulatory changes and the results of internal or external examinations.
• Deliver periodic training to Capital Markets staff members on regulatory matters and firm policies and procedures.
• Perform LOPR Options and Futures reviews which would include data validation and testing.
• Prepare and present compliance reports to the equities and listed derivatives best execution committee meetings.
• Assist in updating the Compliance Procedures Manual.
• Assist with regulatory exams or internal audits for exchange traded products desks.
• Assist with regulatory inquiries and investigations for exchange traded products desks.
• Escalate any significant issues to Compliance management on a timely basis
• Promoting a compliance culture within the firm
• Taking preventative measures to ensure compliance with the rules and regulations

 

Job Requirements

Proficiency requirements and skills:      

• A strong familiarity with equities and listed derivatives products and trading requirements
• Strong working knowledge of the Universal Market Integrity Rules (UMIR), TSX Rules, Montréal Exchange Rules, CIRO Investment Dealer and Partially Consolidated Rules (IDPC), and applicable Canadian securities legislation, including relevant National Instruments governing equity, derivatives, and marketplace trading activities. e.g. UMIR Rulebook, TSX & Montreal Exchange Rules, NI-23-101, NI 23-103.
• Proficiency in Power BI and data analytics, with demonstrated experience leveraging automation to enhance compliance processes, streamline reviews and reporting, and identify data trends and exceptions.
• Demonstrated project management experience, with the ability to identify and remediate control gaps, develop and implement effective control enhancements, and drive initiatives through to completion.
• Experience with Rules and Regulations of the Montreal Exchange, CIRO and applicable Securities Commissions.
• Experience investigating and making sense of information through data analysis, understanding data patterns and trends, as well as resolving and troubleshooting data integrity.
• Comfortable in a trade desk environment and communicating with various Lines of Businesses including front office staff members
• Strong communication skills, both written and oral
• Strong personal integrity in dealing with confidential and sensitive information.
• Self-motivated, confident, and capable of working both independently and in a team environment

 

Other Qualifications/Skills/Experience: 

• Ability to manage and prioritize multiple projects, many with tight deadlines
• Ability to work independently and as part of a team yet understand when matters need to be escalated to senior management
• Ability to deal with staff and management at all levels in TD Securities and TDBG
• Ability to think critically and make decisions

 

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 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.

Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical, and mental well-being goals. Total Rewards at TD includes a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs. Learn more

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.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

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.

If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.  

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.

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
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.

We look forward to hearing from you!

Language Requirement (Quebec only):

Sans Objet