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Senior Compliance Officer, Control Room, Compliance

3 months ago

Golden Horseshoe Ontario, CA The Toronto-Dominion Bank Full time

Senior Compliance Officer, Control Room, Compliance

Work Location: Canada

Hours: 37.5

Line of Business: Compliance

Pay Details: We’re committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.

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

Key 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
  • Assist with collaborating with Investment Banking, Global Credit and Equity Capital Markets personnel Globally in evaluating transactions
  • Provide compliance and real-time support and advice to business areas
  • Responsible for reviewing and resolving the escalation of research related issues
  • Monitor communications within Investment Banking and other dealer groups
  • Responsible for trade monitoring and surveillance
  • Monitor business activities between Equity Research and Investment Banking
  • Assist in the development of the compliance testing program
  • Maintain and enhance policies and procedures
  • Provide guidance, advice, and rule interpretation to the business lines
  • Identify compliance related issues and escalate as necessary
  • Respond to inquiries from regulators
  • Projects as assigned
  • Participate in industry forums and committees where applicable

Proficiency Requirements and Skills:

  • Diverse range of financial products knowledge
  • General understanding of registration and surveillance activities
  • Thorough knowledge of the securities industry
  • Excellent communication skills
  • Ability to work under pressure and meet deadlines
  • Strong personal integrity in dealing with confidential information

Other Qualifications/Skills/Experience:

  • Ability to understand, analyze, interpret, and apply regulation in an operational context
  • Ability to manage and prioritize multiple projects
  • Completion of Canadian Securities Course (CSC), Conduct and Practices Handbook (CPH) desirable

Education and Accreditation:

  • University degree
  • Minimum 5 years compliance/industry experience in a senior position

Who We Are:

TD is one of the world's leading global financial institutions and is the fifth largest bank in North America. We deliver legendary customer experiences to over 27 million households and businesses.

Our Total Rewards Package: Our Total Rewards package reflects the investments we make in our colleagues to help them achieve their financial, physical, and mental well-being goals.

Additional Information: We’re delighted that you’re considering building a career with TD. We’re committed to providing the support our colleagues need to thrive both at work and at home.

Accommodation: Your accessibility is important to us. Please let us know if you’d like accommodations to help us remove barriers during the interview process.

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