Work Location:

Canada

Hours:

37.5

Line of Business:

Compliance

Pay Details:

We’re committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.

Job Description:

Department Overview

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:

• 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

The Manager, Compliance Business Oversight position will focus on Regulatory Change Management, advocacy efforts related to regulatory proposals and consultations, and other assigned compliance assessments. The Manager will provide compliance advisory support across the Firm, where applicable.  This position will report to the AVP, Compliance Advisory.   

 Primary Responsibilities:

• Actively monitor regulatory developments and trends and take appropriate action to ensure the business unit complies with new or amended regulations.
• Lead and manage Regulatory Change meetings.
• Work with different business groups to understand the impact of regulatory change on their business; perform gap analysis to identify process changes required to comply with new requirements.
• Engage with various stakeholders and advise on delivering effective compliance with changing laws, rules and regulations to help ensure strong compliance controls and processes to mitigate regulatory compliance risks.
• Advise the business and other internal stakeholders regarding interpretation and implementation of new regulatory developments/requirements.
• Communicate with front office employees and Supervisors to assess risk and remediate issues.
• Assess new business proposals versus pertinent laws, rules and regulatory requirements including coordinating with global Compliance teams where required.
• Responsible for the accurate tracking and project development for compliance with regulatory change and monitoring of key compliance timelines.
• Conducting industry research and staying current on best practices, securities products, and emerging risks and technologies.
• Identifying and recommending opportunities to improve and streamline regulatory change program content and processes.
• Working with internal legal counsel, team members and other stakeholders to ensure content is accurate and compliant with applicable laws, rules and governing regulatory bodies.
• 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.
• Accountable for managing and updating Compliance Regulatory Change policies and procedures.
• Act as an ongoing resource and central reference for the Compliance department and internal business partners regarding regulatory changes and provide compliance guidance when required. 
• Participate and represent TDS in industry regulatory and compliance related committees and working groups.
• Develop your expertise as a business advisor on regulatory changes and help the business understand and comply with evolving regulatory requirements.
• Supports compliance leaders in the effective implementation, maintenance, and administration of the compliance program.
• Work with the business to review and assess new business initiatives in terms of compliance-related matters/implications.
• Build effective relationships with internal stakeholders, capable of collaborating and fostering relationships within the Business and with cross-functional working groups.

Job Requirements

Proficiency requirements and skills:       

• A strong familiarity with CIRO, MX, OSC and applicable securities regulations.
• Advanced critical thinking with strong problem-solving abilities.
• High attention to detail.
• Strong knowledge of equity markets structure and/or operations is required
• Understanding of regulatory compliance and its role within a broader risk management framework.
• Ability to multi-task, work independently to prioritize workload and meet deadlines. Comfortable in a trade desk environment and communicating with front office staff.
• Excellent communication skills, both written and oral
• Strong personal integrity in dealing with confidential and sensitive information.
• Self-motivated, confident and capable of working both independently and in a team environment .

Other Qualifications/Skills/Experience: 

• Ability to understand, analyze, interpret and apply such regulation in an operational context in an environment that is ever changing and has competing priorities
• 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
• Ability to deal with staff and management at all levels in TD Securities and TDBG
• Ability to think critically and make decisions

Education and Accreditation

• University degree or relevant experience
• Minimum 5 years brokerage compliance experience.
• CSC, CPH & Traders Training Course preferred.

Who We Are:

TD is one of the world's 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 95,000 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 you’ve 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, we’re 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:
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development
If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll 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 we’re committed to helping you identify opportunities that support your goals.
 

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

Interview Process 
We’ll 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 you’d 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:

N/A.