Compliance Business Oversight Analyst II – Regulatory Inquiries and Investigations (4902)

Work Location:

Toronto, Ontario, Canada

Hours:

37.5

Line of Business:

Compliance

Pay Details:

$69,700 - $98,400 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

• Reviewing new business opportunities, such as new products or markets from a compliance perspective

Job Description

The Compliance Business Oversight Analyst II position is responsible for executing the compliance program related to the firm’s Equities and Fixed Income business, specifically regulatory requirements surrounding TDSI Sales and Trading. This position will report to the Senior Manager, Compliance Advisory, Canadian Markets. 

Primary Responsibilities

• Be accountable for responding to time-sensitive regulatory inquiries including investigations, preparing documentation, interviewing parties involved and liaising with various Lines of Businesses and 1B functional areas.

• Track the status and report to management all interactions and communications with regulators.

• Collaborate with colleagues from TD Wealth compliance to avoid redundancies relating to regulatory requests.

• Collaborate with compliance colleagues in other regions to provide ensure quality and consistency in regulatory communications.

• Carry out various compliance monitoring reviews relating to sales and trading and ensuring any findings are promptly remediated.

• Assist in maintaining, designing, and creating compliance reviews to ensure oversight align with business strategies and documenting detailed review procedures.

• Assist with the annual update of Compliance Policies and Procedures.

• Cross training to back up Compliance Advisory team

• Prepare stats of regulatory inquiries for quarterly Trade Desk Report (TDR)

Job Requirements

Proficiency requirements and skills:      

• 3-5 years Broker Dealer experience

• Strong familiarity with CIRO, MX, OSC and applicable securities Commission rules

• Familiarity fixed income listed equity and derivatives market structure, and operations is required.

• TD internal operations or trading system experience preferred

• Proficient in MS Office

• Comfortable in a trade desk environment

• Excellent communication skills, both written and oral

• Strong personal integrity in dealing with confidential and sensitive information.

Other Qualifications/Skills/Experience

• Ability to understand, analyze, interpret, and apply regulations in an operational context in an environment that is ever changing and has competing priorities

• Ability to work in a fast-paced environment and be resourceful

• 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