Senior compliance business oversight analyst

4 weeks ago

Old Toronto Ontario, CA TD Full time

Lieu de travail:

Canada

Horaire:

37.5

Secteur d’activité:

Conformité

Détails de la rémunération :

Nous avons à cœur d’offrir une rémunération juste et équitable à tous nos collègues. En votre qualité de candidat ou de candidate, nous vous encourageons à avoir une conversation franche avec votre recruteur et à poser des questions sur la rémunération, notamment les particularités salariales de ce poste.

Description du poste:

Job Description Summary

Provide surveillance and advisory services to TD Asset Management Inc. (TDAM) with respect to compliance with investment management requirements under securities regulations (e.g. NI 81-102, NI 31-103, etc.) and industry best practices, with particular emphasis on the oversight of the controls designed by TDAM for monitoring compliance with regulatory and client guidelines. Act as the Compliance surveillance lead responsible for monitoring/testing the design, effectiveness, and adequacy of the TDAM 1B's pre- and post- trade controls. This includes providing advisory support during the design of new controls, challenging existing controls, ensuring the 1B is addressing alerts and control weaknesses in a timely manner and tracking and monitoring findings related to controls through to remediation.

Build and manage an effective and customized compliance oversight program for TDAM consistent with TD Compliance Standards, to detect and mitigate regulatory violations and breaches of internal policies and procedures relating to regulatory requirements, using a risk-based approach.

Key Accountabilities

  • Assist in the oversight of the investment compliance program elements and processes for TD Asset Management. Responsible for oversight of portfolio monitoring in the Bloomberg system.
  • Ensure investment and trading activities are conducted in accordance with the regulatory and internal requirements. Assist in implementation and testing of compliance and portfolio management systems. Create new processes utilizing technology to improve efficiencies.
  • Identify and facilitate the resolution and documentation of any trading errors.
  • Be a subject matter expert on assigned projects and initiatives with a focus on regulatory requirements, policies and procedures, effective controls, supervision and testing expectations.
  • Understand the trade flow from start to finish, including booking system, data and files being used for alert generation and be able to identify control improvements.
  • Understanding of the regulatory framework and industry best practices (e.g., NI 81-102, NI 81-107, NI 31-103 etc.)
  • Provide objective guidance, challenge and support on other regulatory compliance related matters raised by the business.
  • Support Wealth Compliance team members and management on a variety of projects, initiatives and other ad-hoc requests as assigned by AVP, Compliance.
  • Maintain strong and collaborative relationships with other Compliance teams, corporate and control functions including Legal, ORM, etc.
  • Assist with management reporting and the maintenance of the compliance issues database.

Additional Information

  • Flexibility to adapt to changing priorities combined with an attention to detail and strong organizational skills to thrive in a dynamic environment.
  • Ability to articulate critical issues for escalation and decisions while maintaining ownership of deliverables.
  • Understanding of Compliance Program and law and regulation as it applies to the financial services sector.
  • Knowledge of relevant Canadian financial industry legislation.
  • Excellent verbal and written communication skills, including public speaking/presentation skills and well developed listening and negotiation skills.
  • Ability to deal with conflicting points of view and to effect creative and responsive solutions.

Department Overview

The Global Compliance Department is responsible for overseeing Regulatory Compliance across TD Bank Group in accordance with the Global Compliance Operating Framework. Compliance is responsible for developing and maintaining the processes by which Businesses are made aware of the legislation and regulation, under which they are governed, as well as compliance trends, emerging risk areas and regulatory changes.

Wealth Compliance works pro-actively with the Canadian Wealth businesses and various other departments within TD that provide support to these businesses. We ensure regulatory compliance; protect the interests of the firm, its employees and clients while supporting the sales and productivity objectives of our business partners.

Job Requirements

  • University degree, with a major/specialty in investment industry accreditation (e.g., CIM) and/or CFA Institute’s Chartered Financial Analyst (CFA) is an asset.
  • Minimum 7 years of relevant business, Compliance, Risk or investment management experience preferred.
  • Knowledge of regulations for portfolio manager, exempt market dealer and investment fund manager (Canada) and institutional clients and alternative investments.
  • Experience working with automated compliance systems (Bloomberg, Charles River) to design pre-trade and post-trade controls to detect and prevent breaches of regulatory and client-specific guidelines.
  • Solid knowledge of trade desk and portfolio management operations.
  • Strong knowledge of financial instruments and related products across asset classes (equities, fixed income, derivatives, etc.).
  • Strong influence skills, with the ability to work collaboratively as well as independently.
  • Detail-oriented, highly organized, and able to work in a dynamic environment.
  • Demonstrated strong writing skills, including drafting process documents.
  • Able to manage tight deadlines and multiple competing priorities.
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