Compliance Governance & Operations Analyst II (4006)

Work Location:

Hours:

Line of Business:

Pay Details:

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidates skills and experience job-related knowledge geographic location and other specific business and organizational needs.

As a candidate you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

Department Overview

The TD Securities Inc. Compliance Department is responsible for the compliance strategy and oversight programs including identifying and preventing violations of regulatory requirements by both employees and clients. This is accomplished by:

• Conducting monitoring and surveillance

• Providing training and education

• Promoting a compliance culture within the firm

• Taking preventative measures to ensure compliance with the rules and regulations

• Reviewing new business opportunities such as new products or markets from a compliance perspective

Job Description

• Responsible for monitoring/surveillance and where applicable escalation of employee personal trading with respect to the Grey and Restricted List Restricted Securities and Wall-crossings

• Maintain up-to-date lists of employees in the StarCompliance System for appropriate coverage

• Assign and follow up attestations

• Complete and file Insider Trading Reports for directors and senior officers of TDBG

• Manage broker feeds and monitor paper statements

• Manage TDS Chatbot

• Provide day-to-day support to employees in relation to personal trading requirements

• Responsible for coordinating with the business in keeping the static user groups (function groups) updated

• Assist in the drafting of training materials and provide training to employees on personal trading requirements as may be required

• Assist in pulling various personal trading reports

• Assist with projects as maybe assigned

• Consistently exercise discretion in handling correspondence information and all matters of confidentiality; raise issues where appropriate

• Build subject matter knowledge in personal trading requirements and security products and may coach and educate others

• Foster a cooperative working relationship with business unit partners and key regulators.

Job Requirements

Proficiency Requirements and Skills:

• Strong knowledge of Securities Rules related to insider trading and material non-public information

• Ability to multi-task work independently think critically and make decisions

• Excellent communication skills both written and oral

• Ability to deal with staff and management at all levels in TD Securities and TDBG

• Ability to work under pressure and meet deadlines

• Strong personal integrity in dealing with confidential and sensitive information

Other Qualifications/Skills/Experience:

• Ability to understand analyze interpret and apply regulation in an operational context in an environment that is ever changing and has competing priorities

• Familiarity with ISM or ability to learn new systems

• 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

• Completion of Canadian Securities Course (CSC) Traders Training Course (TTC) and Conduct and Practices Handbook (CPH) desirable but not required

• Completion of other industry courses desirable but not required

Education and Accreditation

• University Degree

• Minimum 3 years compliance experience within a financial institution or bank-owned dealer

Who We Are:

TD is one of the worlds leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day we deliver legendary customer experiences to over 27 million households and businesses in Canada the United States and around the world. More than 95000 TD colleagues bring their skills talent and creativity to the Bank those we serve and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers communities and colleagues.

TD is deeply committed to being a leader in customer experience that is why we believe that all colleagues no matter where they work are customer facing. As we build our business and deliver on our strategy we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether youve got years of banking experience or are just starting your career in financial services we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs were here to support you towards your goals. As an organization we keep growing and so will you.

Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial physical and mental well-being goals. Total Rewards at TD includes 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. Learn more

Additional Information:
Were delighted that youre considering building a career with TD. Through regular development conversations training programs and a competitive benefits plan were committed to providing the support our colleagues need to thrive both at work and at home.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations requirements.

Colleague Development
If youre interested in a specific career path or are looking to build certain skills we want to help you succeed. Youll have regular career development and performance conversations with your manager as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience or you want to coach and inspire your colleagues there are many different career paths within our organization at TD and were committed to helping you identify opportunities that support your goals.

Training & Onboarding
We will provide training and onboarding sessions to ensure that youve got everything you need to succeed in your new role.

Interview Process
Well reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation
Your accessibility is important to us. Please let us know if youd like accommodations (including accessible meeting rooms captioning for virtual interviews etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you!

Language Requirement (Quebec only):