Compliance Governance

5 months ago

Toronto, Canada TD Bank Full time

**Compliance Governance & Operations Analyst I**:

- 433334BR

**Job Category - Primary**
- Anti-Money Laundering / Compliance & Regulatory Relations

**Work Location**
- TD Centre - South - 79 Wellington Street West

**Employment Type**
- Regular

**City**
- Toronto

**Time Type**
- Full Time

**Province/State**
- Ontario

**Hours**
- 37.5

**Workplace Model**
- Hybrid

**Pay Details**

**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.
- Implementing Policies and Procedures designed to achieve compliance with applicable laws and regulations.
- Licensing and registration requirements

**Job Details**

This position is responsible for assisting in the execution of the compliance program and registration activities for TD Securities (TDS) Canadian Equity, Fixed Income & Investment Banking business lines. This position will report to the Senior Manager, Canadian Markets Compliance. More specifically, the role shall provide a major contribution to the overall prevention and detection of reputational, financial, and regulatory risks related to TDS, with responsibility for high-level compliance oversight services as well as all related monitoring activities. Primary Responsibilities:

- Intake all Outside Business Activities inputted by TDSI Employees.
- Provide high quality service in all internal customer interactions.
- Act as a point of reference to applicants, existing registrants, business units, compliance colleagues, and HR practitioners regarding registration and industry education matters.
- Prepare submissions to report material changes to regulatory bodies for registered persons.
- Prepare submissions to report terminations of registered persons, and conduct additional research with HR Practitioners and/or business units as required.
- Track post-licensing and continuing education requirements as required, and report to regulators.
- Act as backup for responding to time-sensitive regulatory inquiries including investigations, preparing documentation, interviewing parties involved, liaising with different lines of businesses within the organization, assessing risk to TDSI, and all follow-up with the regulators.
- Develop and maintain relationships with counterparts at each of the relevant Canadian Securities Regulators and maintain a high level of awareness of compliance related changes and developments in the Securities industry.
- Monitor adherence to internal TDS Compliance policies and procedures to ensure that this part of the TDS compliance function is effective; escalating any significant issues to Compliance management on a timely basis in order to ensure appropriate action is taken in accordance with regulatory requirements and internal protocols. The role requires ongoing collaboration with peers and staff within the TDBG group.
- Participate in the development of regulatory educational training sessions for the front office departments supported by TDS compliance.
- Maintain databases of regulatory violations and inquiries to determine patterns and potential deficiencies.
- Provide advice and counsel to applicants, existing registrants, business units, compliance colleagues, and HR practitioners regarding registration and industry education matters.
- Assist in preparing submissions to register accredited individuals of the TD Securities business line and monthly reporting.

**Job Requirements**

Proficiency requirements and skills:

- Familiarity with CIRO and applicable Securities Commission rules
- Familiarity of capital markets structure and/or operations
- Comfortable in a trade desk environment and communicating with front office staff members
- Excellent communication skills, both written and oral
- Strong personal integrity in dealing with confidential and sensitive information
- Self-motivated, confident and capable of working both independently and in a team environment

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
- Ability to deal with staff and management at all levels in TD Securities and TDBG
- Ability to think critically and make decisions

**Company Overview**

**Our Values**
At TD we're guided by our purpose is to enrich the lives of our customers, communities and colleagues, and share a set of values that shape our culture and guide our behavior. In exchange for how our colleagues show up to help TD succeed, we are committed to delivering a

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