Compliance Governance & Operations Analyst I - Jobs in Toronto, ON

Job Description

TD DescriptionTell us your story. Dont go unnoticed. Explain why youre a winning candidate. Think "TD" if you crave meaningful work and embrace change like we do. We are a trusted North American leader that cares about people and inspires them to grow and move forward.Stay current and competitive. Carve out a career for yourself. Grow with us.Department OverviewThe 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
• Liaising with regulators
• 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

• Assists in monitoring/surveillance, and where applicable escalation, of employee personal trading with respect to the Grey and Restricted List, Restricted Securities and Wall-crossings
• Improve process for external accounts review and monitoring
• 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 or other tasks 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 RequirementsProficiency 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

Additional Information

• University degree
• Minimum 1 years compliance experience within a financial institution or bank-owned dealer

InclusivenessAt TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live and serve. If you require an accommodation for the recruitment/interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.Job FamilyCompliance Governance and OperationsJob Category - PrimaryAnti-Money Laundering / Compliance & Regulatory RelationsJob Category(s)Anti-Money Laundering / Compliance & Regulatory RelationsHours37.5Business LineCorporateTime TypeFull TimeEmployment TypeRegularCountryCanada**Province/State (Primary)OntarioCity (Primary)TorontoWork LocationTD Centre - South - 79 Wellington Street WestJob Expires07-Dec-2022Quick Apply

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