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Compliance Officer

2 months ago

Kingston NS, Canada TD Full time

Job Summary:

The Compliance Business Oversight Manager will be responsible for leading and managing the firm's regulatory change management program, including advocacy efforts related to regulatory proposals and consultations, and other assigned compliance assessments. The Manager will provide compliance advisory support across the firm, where applicable.

Key Responsibilities:

  • Actively monitor regulatory developments and trends and take appropriate action to ensure the business unit complies with new or amended regulations.
  • Lead and manage Regulatory Change meetings.
  • Work with different business groups to understand the impact of regulatory change on their business; perform gap analysis to identify process changes required to comply with new requirements.
  • Engage with various stakeholders and advise on delivering effective compliance with changing laws, rules and regulations to help ensure strong compliance controls and processes to mitigate regulatory compliance risks.
  • Advise the business and other internal stakeholders regarding interpretation and implementation of new regulatory developments/requirements.
  • Communicate with front office employees and Supervisors to assess risk and remediate issues.
  • Assess new business proposals versus pertinent laws, rules and regulatory requirements including coordinating with global Compliance teams where required.
  • Responsible for the accurate tracking and project development for compliance with regulatory change and monitoring of key compliance timelines.
  • Conducting industry research and staying current on best practices, securities products, and emerging risks and technologies.
  • Identifying and recommending opportunities to improve and streamline regulatory change program content and processes.
  • Working with internal legal counsel, team members and other stakeholders to ensure content is accurate and compliant with applicable laws, rules and governing regulatory bodies.
  • 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.
  • Accountable for managing and updating Compliance Regulatory Change policies and procedures.
  • Act as an ongoing resource and central reference for the Compliance department and internal business partners regarding regulatory changes and provide compliance guidance when required.
  • Participate and represent TD in industry regulatory and compliance related committees and working groups.
  • Develop your expertise as a business advisor on regulatory changes and help the business understand and comply with evolving regulatory requirements.
  • Supports compliance leaders in the effective implementation, maintenance, and administration of the compliance program.
  • Work with the business to review and assess new business initiatives in terms of compliance-related matters/implications.
  • Understanding of regulatory compliance and its role within a broader risk management framework.
  • Comfortable in a trade desk environment and communicating with front office staff.
  • 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.

Requirements:

  • Minimum 5 years brokerage compliance experience.
  • CSC, CPH & Traders Training Course preferred.