Compliance Governance

1 week ago

Toronto, Ontario, Canada TD Bank Full time

Work Location:

Toronto, Ontario, Canada

Hours:

37.5

Line of Business:

Compliance

Pay Details:

Department Overview:

The Compliance Department is responsible for identifying and preventing violations of regulatory requirements by both employees and clients

This is accomplished by:

  • Conducting cross monitoring and surveillance for cash and derivatives such as Bond/Futures and Equity/Options
  • Providing training and education to business and support personnel
  • Liaising with regulators and internal auditors
  • 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


Global Trade Surveillance is a second line of defense and independently responsible for providing centralized trade surveillance on behalf of TDS trading desks located in Canada, US, UK, Ireland, and Singapore.

Team covers the Metals, Institutional Fixed Income, FX and their derivatives, Equities and their derivatives, and sales and trading businesses globally for TD Securities.

This role will report to the Manager, Global Trade Surveillance.

Job Responsibilities:

Trade Surveillance (60%):

  • Ensure T+1 timeline for trade surveillance is adhered to, except, any special circumstances
  • Understand asset class responsible for as per team requirements
  • Analyze the data source and able to draw conclusions to meet review requirements
  • Understand the trade flow from start to finish, including booking system, files being used for alert generation
  • Familiarize with the emerging trends pertaining to regulatory changes and remain updated on the markets and the products assigned for
  • Proactively identify matters requiring additional review and when to escalate to GTS Management and Advisory partners
  • Develop a thorough understanding of the module after 1 year and continuously look for efficiencies and enhancements to the work
  • Identify the gaps and improvements that need to be done on calibrations and communicate to seniors in the team
  • Highlight the scope for increasing manual efficiency
  • Update the case management for every escalation and followup on pending open items on a regular basis
  • Keep UpToDate of current affairs including reading news about the markets, recent fines in various geographies, and/or any public material event

Project Management (30%):

  • Support audit related activities by providing documents being asked for
  • During the compliance procedure manual update, review the current document and suggest making any changes in the new review

Relationship Management (5%):

  • Familiarize with the stakeholders including the front office team, TBM, and the support functions including technology and operations
  • Network with the Global Advisory teams pertaining to the review module

Develop Your Colleagues (5%):

  • Able to network with other colleagues in GTS and showcase presence
  • Involve colleagues within GTS for a team event

Proficiency requirements and skills:

  • Knowledge of Capital Markets, OTC market structure and operations and the associated regulatory risk
  • Familiarity with the Universal Market Integrity Rules (UMIR), Le Bourse Exchange, CFTC, NFA and applicable securities Commission rules
  • Minimum 23 years of experience, preferably in Capital Markets
  • Ability to work independently, think critically and make decisions
  • Excellent communication skills, both written and oral, as role requires frequent conversations with traders and salespersons
  • Ability to deal with staff and management at all levels in TD Securities and TDBG
  • Ability to work under pressure and meet deadlines
  • Strong personal integrity in dealing with confidential and sensitive information
  • Good to have Canadian Securities Courses (CSI) CSC, DFC, OLC, OPSC and FIT

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
  • CPH and Trader Training course are desirable, but not required

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

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