Compliance Business Oversight Analyst II (4819)

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Hours:

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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:

Job Description Summary

Provide oversight analysis and quality assurance of compliance surveillance and review activities across multiple business lines. The role focuses on independent oversight of monitoring outputs patterning analyses regulatory inquiries and control effectiveness to ensure alignment with applicable securities regulations internal policies and risk management expectations.

Job Description

Key Accountabilities

Customer

• Perform ongoing oversight reviews of surveillance alerts trade activity reports and exception outputs to assess the adequacy timeliness and quality of first-line reviews.

• Conduct daily monthly quarterly and ad-hoc patterning and thematic analyses to identify potential regulatory conduct or control risks.

• Assess accuracy and appropriateness of trade markers client identifiers account attributes and change-of-ownership indicators.

• Analyze trading activity cash and securities movements suitability indicators client priority considerations and potential conflicts of interest.

• Document review results identify issues or control gaps and escalate matters requiring further investigation or remediation.

• Support responses to regulatory inquiries through analysis evidence gathering and preparation of review summaries.

Shareholder

• Provide independent challenge and oversight of compliance surveillance processes to support effective risk management.

• Evaluate control design and operating effectiveness through structured review programs and testing activities.

• Identify trends emerging risks and systemic issues through data-driven analysis and pattern recognition.

• Contribute to audit examination and regulatory readiness by maintaining accurate documentation and evidence.

• Ensure activities are conducted in alignment with applicable securities regulations internal policies and compliance standards.

• Promote consistent application of compliance controls across products account types and client segments.

Employee / Team

• Participate as an active member of the compliance oversight team supporting collaboration and knowledge sharing.

• Maintain and enhance subject matter expertise related to securities regulation surveillance practices and market conduct risk.

• Provide guidance and constructive feedback to peers regarding review observations and control expectations.

• Communicate review status findings and risks clearly and professionally to management and stakeholders.

• Contribute to a positive inclusive and risk-aware culture that values integrity and accountability.

Breadth & Depth

• Manage and execute multiple concurrent oversight reviews with varying frequencies and complexity.

• Apply judgment when assessing non-standard activity escalations and potential regulatory issues.

• Operate with a comprehensive understanding of securities products trading processes and surveillance concepts.

• Require minimal supervision while adhering to defined review frameworks and escalation protocols.

• Serve as a point of contact for internal partners auditors and regulators on matters relating to surveillance oversight.

Experience & Education

• Undergraduate degree or equivalent work experience.

• 2 years of relevant experience in compliance surveillance risk management operations or a related securities industry function.

• Knowledge of Canadian securities regulations and market conduct expectations.

• Strong analytical documentation and organizational skills with attention to detail.

• Ability to interpret trade and account data identify anomalies and articulate risk-based conclusions.

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 strive to make every interaction product and experience remarkably human and refreshingly simple for 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 foster deeper relationships ensure disciplined execution and build a simpler faster banking experience. TD is deeply committed to being a leader in client experience that is why we believe that all colleagues no matter where they work are client facing. Together we are reimagining what banking can be for our clients colleagues and communities.

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.

If youre passionate about helping clients and building deep lasting relationships TD offers diverse career paths where you can grow your expertise and make a meaningful impact.

Were committed to your success and foster a respectful workplace where diverse perspectives are valued everyone has fair opportunities to grow and you can unlock your full potential to achieve your career goals. Here at TD we hire and develop the best.

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):