Senior Compliance Officer

4 weeks ago

Toronto, Ontario, Canada The Toronto-Dominion Bank (Canada) Full time

Job Summary

We are seeking a highly skilled Compliance Surveillance Specialist to join our team at The Toronto-Dominion Bank (Canada). As a key member of our Compliance department, you will be responsible for providing surveillance and advisory services to TD Asset Management Inc. (TDAM) with respect to compliance with investment management requirements under securities regulations and industry best practices.

Key Responsibilities

  • Monitor and test the design, effectiveness, and adequacy of TDAM's pre- and post-trade controls, providing advisory support during the design of new controls and challenging existing controls.
  • Build and manage an effective and customized compliance oversight program for TDAM, detecting and mitigating regulatory violations and breaches of internal policies and procedures.
  • 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 regulatory and internal requirements, assisting in the implementation and testing of compliance and portfolio management systems.
  • Identify and facilitate the resolution and documentation of any trading errors, providing objective guidance and challenge on other regulatory compliance-related matters raised by the business.

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.

About Us

The Toronto-Dominion Bank (Canada) is one of the world's leading global financial institutions, delivering legendary customer experiences to over 27 million households and businesses in Canada, the United States, and around the world. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities, and colleagues.

What We Offer

We offer a competitive compensation package, including a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits, and discounts, career development, and reward and recognition programs.

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