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Senior Compliance Officer, Control Room, Compliance

1 month ago

Old Toronto Ontario, CA TD Bank Full time
Senior Compliance Officer, Control Room, Compliance

Job ID: 76899

Job Type: Full Time

Category: Customer Service

Posted: 2024-08-12

Location: Toronto, ON | Canada

Job Description:

The TD Securities Inc. Compliance Department is responsible for the compliance strategy and oversight programs, including identifying and preventing violations of regulatory requirements by both employees and clients. 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 Responsibilities:

  • Maintain the Grey List and Restricted List and advise on information barrier issues
  • Provide compliance coverage for the Control Room as well as all private side business within TD Securities including Investment Banking (which includes Mergers & Acquisitions, Corporate Finance and Equity Capital Markets), Global Credit and Debt Capital Markets
  • Assist with collaborating with Investment Banking, Global Credit and Equity Capital Markets personnel Globally in evaluating transactions to determine securities for inclusion on the Grey List or Restricted Lists
  • Compliance and real-time support and advice to business areas within Investment Banking, Global Credit and Debt Capital Markets
  • Responsible for reviewing and resolving the escalation of research related issues as they relate to Investment Banking transactions and potential restrictions
  • Responsible for monitoring communications including electronic and video communications within Investment Banking and other dealer groups in line with regulatory requirements and objectives
  • Responsible for trade monitoring and surveillance particularly with respect to the Grey and Restricted Lists
  • Monitor business activities between Equity Research and Investment Banking and ensure groups are conducting business activities independently
  • Assist in the development of the compliance testing program with operational procedures to address internal TD policies and industry best practices
  • Maintain and enhance policies and procedures within the group
  • Provide guidance, advice and rule interpretation to the business lines and leaders
  • Provide guidance and education on regulatory and internal policy to TD Securities management and staff
  • Identify compliance related issues and escalate issues identified to business unit management
  • Identify compliance requirements as per legislation, policies, self-regulatory by-laws and rulings
  • Respond to inquiries from regulators
  • Projects as assigned
  • Implement and enhance policies and procedures
  • Foster a cooperative working relationship with our business unit partners and key regulators
  • Participate in industry forums and committees where applicable

Proficiency Requirements and Skills:

  • Diverse range of financial products knowledge and working knowledge of market rules and regulations
  • A general understanding of registration and surveillance activities is desirable
  • Thorough knowledge of the securities industry and operations of the capital markets
  • Ability to think critically and make decisions
  • Excellent communication skills, both written and oral
  • Ability to deal with staff and management at all levels
  • Ability to work under pressure and meet deadlines
  • Strong personal integrity in dealing with confidential and sensitive information

Other Qualifications/Skills/Experience:

  • Ability to understand, analyze, interpret and apply regulation in an operational context
  • Ability to manage and prioritize multiple projects
  • Ability to work independently and as part of a team
  • Completion of Canadian Securities Course (CSC), Conduct and Practices Handbook (CPH) and Trader Training Course (TTC) desirable but not required
  • Completion of other industry courses desirable but not required

Education and Accreditation:

  • University degree
  • Minimum 5 years compliance/industry experience in a senior position within a bank owned dealer

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. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.

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.

Additional Information: We're delighted that you're considering building a career with TD. 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.

Accommodation: Your accessibility is important to us. Please let us know if you'd like accommodations to help us remove barriers so that you can participate throughout the interview process.

Language Requirement: N/A.

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