Lead Compliance Officer, Regulatory Oversight

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 team members. We encourage candidates to engage in open discussions with our HR Team regarding compensation inquiries, including details specific to this role.

Job Overview:

The Compliance Department at TD Securities Inc. plays a crucial role in shaping compliance strategies and oversight initiatives. This involves identifying and mitigating potential violations of regulatory standards by both employees and clients. Key activities include:

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

Key Responsibilities:

  • Manage the Grey List and Restricted List while advising on information barrier matters
  • 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 various business units
  • Oversee the review and resolution of escalated research-related issues
  • 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-related challenges and escalate as necessary
  • Respond to inquiries from regulatory authorities
  • Participate in assigned projects
  • Engage in industry forums and committees as appropriate

Proficiency Requirements and Skills:

  • 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
  • Capability to perform under pressure and meet deadlines
  • Strong personal integrity when handling confidential information

Other Qualifications/Skills/Experience:

  • 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 Accreditation:

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

About Us:

TD is recognized as one of the leading 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 commitment to investing in our colleagues' financial, physical, and mental well-being.

Additional Information: We appreciate your interest in building a career with TD. We are dedicated to providing the necessary support for our colleagues 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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