Senior Compliance Officer

4 weeks ago

Golden Horseshoe, Canada The Toronto-Dominion Bank (Canada) Full time

Senior Compliance Officer, Control Room, Compliance

Work Location: Canada

Hours: 37.5

Line of Business: Compliance

Pay Details: We are dedicated to ensuring fair and equitable compensation for all our employees. We encourage candidates to engage in open discussions with our HR Team regarding compensation-related inquiries, including specifics for this position.

Job Overview:

The Compliance Department at TD Securities Inc. is tasked with formulating compliance strategies and oversight initiatives, aimed at identifying and mitigating breaches of regulatory standards by both personnel and clients. This is achieved through:

  • Conducting thorough monitoring and surveillance
  • Delivering training and educational programs
  • Engaging with regulatory bodies
  • Fostering a culture of compliance within the organization
  • Implementing proactive measures to uphold adherence to rules and regulations
  • Assessing new business ventures, including products or markets from a compliance standpoint

Key Responsibilities:

  • Manage the Grey List and Restricted List while advising on information barrier concerns
  • Provide compliance oversight for the Control Room and all private side operations within TD Securities
  • Collaborate with Global Investment Banking, Credit, and Equity Capital Markets teams in transaction evaluations
  • Offer compliance support and real-time guidance to business units
  • Oversee the review and resolution of escalated research-related matters
  • Monitor communications within Investment Banking and other dealer groups
  • Conduct trade monitoring and surveillance activities
  • Supervise business interactions between Equity Research and Investment Banking
  • Contribute to the development of the compliance testing framework
  • Enhance and maintain policies and procedures
  • Provide guidance, advice, and interpretation of rules to business lines
  • Identify compliance issues and escalate as necessary
  • Respond to inquiries from regulatory authorities
  • Engage in assigned projects
  • Participate in relevant industry forums and committees

Required Skills and Qualifications:

  • Comprehensive knowledge of a diverse range of financial products
  • General understanding of registration and surveillance processes
  • In-depth knowledge of the securities sector
  • Exceptional communication abilities
  • Capacity to perform under pressure and meet deadlines
  • Strong personal integrity when handling confidential information

Additional Qualifications:

  • Ability to comprehend, analyze, interpret, and apply regulations in an operational context
  • Proficiency in managing and prioritizing multiple projects
  • Completion of Canadian Securities Course (CSC) and Conduct and Practices Handbook (CPH) is advantageous

Education and Experience:

  • University degree
  • Minimum of 5 years of compliance or industry experience in a senior role

About Us:

TD is recognized as one of the foremost global financial institutions and ranks as the fifth largest bank in North America. We are committed to delivering exceptional customer experiences to over 27 million households and businesses.

Our Total Rewards Package: Our Total Rewards package reflects our investment in our employees, supporting their financial, physical, and mental well-being goals.

Additional Information: We appreciate your interest in building a career with TD. We are committed to providing the necessary support for our employees to thrive both professionally and personally.

Accommodation: Your accessibility is important to us. Please inform us if you require accommodations to help eliminate barriers during the interview process.

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