Compliance Governance & Operations Analyst I
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The TD Securities Inc. (TDSI) Compliance Department is responsible for the compliance strategy and oversight programs, including designing and implementing monitoring and supervisory programs for the firm. This is accomplished by:
Licensing and registration requirements Job Description
- 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
- Implementing Policies and Procedures designed to achieve compliance with applicable laws and regulations
This position is responsible for assisting in the execution of the compliance program and registration activities for TD Securities (TDS) Canadian Equity, FICM, & Investment Banking business lines. This position will report to the Senior Manager, Canadian Markets Compliance. More specifically, the role shall provide a major contribution to the overall prevention and detection of reputational, financial and regulatory risks related to TDS, with responsibility for high-level compliance oversight services as well as all related monitoring activities. Primary Responsibilities:
- Manage and maintain the registration process for TD Securities Inc employees that are subject to regulation under regional regulatory authority and/or as members of Self-Regulatory Organizations.
- Intake all Outside Business Activities inputted by TDSI Employees.
- Provide high quality service in all internal customer interactions.
- Act as a point of reference to applicants, existing registrants, business units, compliance colleagues, and HR practitioners regarding registration and industry education matters.
- Monitor applications for potential conditional registrations (i.e. applicants with criminal records, bankruptcies, garnishments, civil suit involvement, etc.) and bring to management\u2019s attention.
- Prepare submissions to report material changes to regulatory bodies for registered persons.
- Prepare submissions to report terminations of registered persons, and conduct additional research with HR Practitioners and/or business units as required.
- Track post-licensing and continuing education requirements as required, and report to regulators.
- Maintain various electronic records, including secure web-based applications, Excel spreadsheets, TD legacy databases, while leveraging the REDS database.
- Act as backup for responding to time-sensitive regulatory inquiries including investigations, preparing documentation, interviewing parties involved, liaising with different lines of businesses within the organization, assessing risk to TDSI, and all follow-up with the regulators.
- 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.
- Monitor adherence to internal TDS Compliance policies and procedures to ensure that this part of the TDS compliance function is effective; escalating any significant issues to Compliance management on a timely basis in order to ensure appropriate action is taken in accordance with regulatory requirements and internal protocols. The role requires ongoing collaboration with peers and staff within the TDBG group.
- Participate in the development of regulatory educational training sessions for the front office departments supported by TDS compliance.
- Maintain databases of regulatory violations and inquiries to determine patterns and potential deficiencies.
- Provide advice and counsel to applicants, existing registrants, business units, compliance colleagues, and HR practitioners regarding registration and industry education matters.
- Assist in preparing submissions to register accredited individuals of the TD Securities business line and monthly reporting.
Job Requirements (4000 Character maximum)*Proficiency requirements and skills:
\u2022Familiarity with IIROC and applicable Securities Commission rules
\u2022Familiarity of capital markets structure and/or operations
\u2022Proficient in Microsoft Office suite of applications
\u2022Comfortable in a trade desk environment and communicating with front office staff members
\u2022Excellent communication skills, both written and oral
\u2022Strong personal integrity in dealing with confidential and sensitive information
\u2022Self-motivated, confident and capable of working both independently and in a team environment
\u2022Ability to understand, analyze, interpret and apply such regulation in an operational context in an environment that is ever changing and has competing priorities
\u2022Ability to manage and prioritize multiple projects, many with tight deadlines
\u2022Ability to work independently and as part of a team yet understand when matters need to be escalated to senior management
\u2022Ability to deal with staff and management at all levels in TD Securities and TDBG
\u2022Ability to think critically and make decisions
Education and Accreditation\u2022University degree
\u2022Compliance related work experience or education training preferred.
\u2022CSC, CPH & Traders Training Course preferred. Hours
At 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.